Theresa T. Lamie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Theresa Terrell Lamie, who also goes by Theresa T Gowen, Theresa T Lamie, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1993. Theresa had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - July 23, 2019
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - June 11, 2019
CAPITAL ONE INVESTING, LLC
February 21, 2012 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
February 13, 2012 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
January 20, 2010 - May 12, 2010
MICG INVESTMENT MANAGEMENT, LLC
January 20, 2010 - May 12, 2010
MICG INVESTMENT MANAGEMENT, LLC
September 1, 1995 - January 25, 2010
UBS FINANCIAL SERVICES INC.
May 20, 1994 - January 25, 2010
UBS FINANCIAL SERVICES INC.
July 31, 1993 - May 16, 1994
CITIGROUP GLOBAL MARKETS INC.
June 21, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
