Mary E. Schumacher

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CRD#: 4119672

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.

Mary Elizabeth Schumacher, who also goes by Lise Schumacher, Lise Shenk, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2000. Mary had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lise Schumacher | Lise Shenk

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 8, 2013 - May 2, 2022

QUAD-CITIES INVESTMENT GROUP, LLC

RIA

CRD#: 154113

DAVENPORT, IA

Past

July 21, 2010 - December 23, 2011

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

DAVENPORT, IA

Past

October 7, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP ADVISORS, LLC

RIA

CRD#: 148188

CHICAGO, IL

Past

October 7, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

DAVENPORT, IA

Past

February 9, 2009 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DAVENPORT, IA

Past

August 12, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DAVENPORT, IA

Past

July 18, 2000 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

DAVENPORT, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/21/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/21/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

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Contact information

Main Address

5177 Utica Ridge Road, Davenport, IA 52807

Mailing Address

Phone number

(563) 484-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2017 ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,473
AUM (Assets Under Management)	$ 375,563,938

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.

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Advisor Monitoring

Firm Stability Insights

Mary E. Schumacher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

CHICAGO INVESTMENT GROUP ADVISORS, LLC

CHICAGO INVESTMENT GROUP, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

QUAD-CITIES INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2009

Series 63

Date: 9/11/2000

Series 7

Date: 7/17/2000

Series 10

Date: 10/21/2002

Series 9

Date: 10/21/2002

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUAD-CITIES INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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