Lisa A. Grady
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.
Lisa Ann Grady, who also goes by Lisa Grady, Lisa Ann Sevier, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1993. Lisa had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - April 13, 2026
FROST INVESTMENT SERVICES
June 22, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
December 15, 2010 - April 13, 2026
FROST BROKERAGE SERVICES, INC.
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
Exams
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 |
|---|---|---|
| 12/12/2025 | ||
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
