Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Michele Thomas is a financial professional with over 16 years of experience in the securities industry. Lisa is currently registered with TD Securities (usa) LLC. Previously, Lisa was with Cowen AND Co. and Nomura Securities International, Inc. Lisa holds the Series 7, Series 24, and Series 87 licenses. Lisa holds a Securities Industry Essentials (SIE) Exam certification. Lisa also holds the General Securities Principal Examination certification. Lisa has worked in the financial services industry since 2007.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
03/08/2024 - Present
TD Securities (usa) LLC (New York NY)
NY
04/12/2010 - 02/24/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
11/14/2006 - 06/10/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/02/2009 - 05/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/28/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/13/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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