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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

LISA MARIE FUJII

Advisor at CHARLES SCHWAB & CO., INC.

Omaha, NE

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Search this name across graphsid dfx:ria:b60fc7ae-41bd-acd3-04ac-43b441a9ef41

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 28, 2011
First registration: Jun 16, 2015
Dual registered: yes, broker-dealer
Other names: LISA MARIE THOMPSON|LISA MARIE THOMPSON
IAPD individual key: 5291613

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 27, 2022	n/a	yes	Omaha, NE	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 3, 2019	Sep 7, 2023	no	Omaha, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 21, 2018	Oct 14, 2022	no	OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 16, 2015	Jun 19, 2017	no	OMAHA, NE\|OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 16, 2015	Jun 19, 2017	no	OMAHA, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Jan 27, 2022	-588	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Jul 3, 2019	-1,199	Bulk transfer	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 19, 2017	Feb 21, 2018	247	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 19, 2017	Jun 16, 2015	-734	Channel change	Other

Relationships

Registered with (3)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 27, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 3, 2019 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 21, 2018 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.