Lisa A. Grady
Professional summary
Lisa Ann Grady, who also goes by Lisa Grady, Lisa Ann Sevier, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Fort Worth, Texas and FROST BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lisa has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Grady's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102December 15, 2010 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102June 22, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
August 23, 2006 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
August 12, 2004 - May 3, 2006
CHASE INVESTMENT SERVICES CORP.
August 12, 2004 - May 3, 2006
CHASE INVESTMENT SERVICES CORP.
May 13, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 23, 1995 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 26, 1993 - October 10, 1994
CONSECO EQUITY SALES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2010)
(1/27/2022)
Exams
FINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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