Lisa M. Mccormick
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 Marie Mccormick, who also goes by Lisa Marie Demarti, Lisa Demarti, Lisa Marie Mccormick, Lisa Mccormick, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2004. Lisa had worked at 7 firms and has passed the Series 66, 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
October 7, 2019 - August 15, 2022
EXECUTIVE WEALTH MANAGEMENT, LLC
September 1, 2017 - August 1, 2022
PRIVATE CLIENT SERVICES, LLC
February 12, 2009 - June 6, 2017
INVEST FINANCIAL CORPORATION
May 25, 2007 - February 12, 2009
OSAIC WEALTH, INC.
February 3, 2006 - June 22, 2007
FIFTH THIRD SECURITIES, INC.
July 14, 2004 - June 22, 2007
FIFTH THIRD SECURITIES, INC.
April 22, 2004 - June 21, 2004
IDS LIFE INSURANCE COMPANY
April 22, 2004 - June 21, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
EXECUTIVE WEALTH MANAGEMENT, LLC
CRD#: 140736 / SEC#: 801-66881
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,577 |
| AUM (Assets Under Management) | $ 1,438,725,950 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2024 | ||
| 09/08/2023 | ||
| 12/19/2022 |
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.
