Tia M. Lyles
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.
Tia Marie Lyles, who also goes by Tia M. Lyles, Tia Lyles, Tia M Lyles, was a registered financial professional .
Tia is a previously registered financial professional and started their career in finance in 2004. Tia had worked at 6 firms and has passed the Series 66, Series 7TO, 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
June 3, 2019 - October 23, 2019
CHARLES SCHWAB & CO., INC.
February 21, 2014 - November 12, 2014
HSBC SECURITIES (USA) INC.
February 6, 2014 - November 12, 2014
HSBC SECURITIES (USA) INC.
February 22, 2012 - August 3, 2012
LEHRER MANAGEMENT CO INC
December 22, 2011 - February 10, 2012
CHASE INVESTMENT SERVICES CORP.
December 22, 2011 - February 10, 2012
CHASE INVESTMENT SERVICES CORP.
April 23, 2010 - March 16, 2011
BANCWEST INVESTMENT SERVICES, INC.
April 23, 2010 - March 16, 2011
BANCWEST INVESTMENT SERVICES, INC.
April 7, 2009 - March 19, 2010
WELLS FARGO INVESTMENTS, LLC
April 7, 2009 - March 19, 2010
WELLS FARGO INVESTMENTS, LLC
April 20, 2004 - August 27, 2008
WELLS FARGO INVESTMENTS, LLC
February 25, 2004 - August 27, 2008
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 7TO
Date: 6/3/2019
General Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
