Lisa R. Mcivor
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 Rich Mcivor, who also goes by Lisa Diane Mcivor, Lisa D Rich, Lisa Diane Rich, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1998. Lisa had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, 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
June 28, 2017 - September 10, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 27, 2017 - September 10, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 2010 - September 29, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 12, 2010 - September 29, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - April 28, 2010
MORGAN STANLEY
June 1, 2009 - April 28, 2010
MORGAN STANLEY
January 20, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 19, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 22, 1998 - June 24, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
