Michael S. Lichtmacher
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.
Michael Samuel Lichtmacher was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - July 30, 2019
USAA INVESTMENT SERVICES COMPANY
December 24, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
December 24, 2013 - July 15, 2019
USAA FINANCIAL ADVISORS, INC.
November 14, 2012 - December 11, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 15, 2011 - October 12, 2012
EAGLE STRATEGIES LLC
May 8, 2009 - October 12, 2012
NYLIFE SECURITIES LLC
January 3, 2007 - April 17, 2009
SECURIAN FINANCIAL SERVICES, INC.
October 23, 2006 - April 17, 2009
SECURIAN FINANCIAL SERVICES, INC.
July 26, 2001 - October 13, 2006
EQUITY SERVICES, INC.
September 14, 2000 - July 3, 2001
IDS LIFE INSURANCE COMPANY
September 14, 2000 - July 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
April 18, 2000 - August 10, 2000
SPENCER CLARKE LLC
February 17, 2000 - April 5, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
