Lisa M. Doi
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 Michi Doi, who also goes by Lisa M Ng, Lisa Michi Ng, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2020 - December 6, 2023
PNC CAPITAL ADVISORS LLC
March 5, 2020 - December 6, 2023
PNC CAPITAL MARKETS LLC
January 2, 2020 - February 12, 2020
FORESIDE FINANCIAL SERVICES, LLC
January 30, 2015 - December 31, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
April 23, 2013 - January 30, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
March 28, 2013 - February 5, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
November 1, 2010 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 15, 2001 - June 6, 2008
LASALLE FINANCIAL SERVICES, INC.
March 6, 2000 - June 6, 2008
LASALLE FINANCIAL SERVICES, INC.
March 24, 1995 - February 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
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
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 573 |
| AUM (Assets Under Management) | $ 42,558,194,728 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 08/24/2023 | ||
| 09/28/2022 |
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.
