DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Lisa Louise Lauria

MML Investors Services, LLCBD affiliatedIndianapolis, Indual registrantIAPD 2742874

Feed of 09/14/2026

Also filed as Lisa Louise Leforge

At current firm

2 y

since Sep 3, 2024

In the industry

29 y

since Nov 20, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

MML Investors Services, LLC BD affiliated current
since Sep 3, 2024 · Indianapolis, In
Charles Schwab & Co., Inc. national BD
Mar 25, 2022 to Aug 22, 2024 · Carmel, In
Thurston Springer Advisors BD affiliated
Nov 23, 2020 to Nov 9, 2021 · Indianapolis, In
Thurston Springer Financial former
Jan 23, 2013 to Nov 23, 2020 · Indianapolis, In
Planned Investment Co., Inc. unclassified
Mar 19, 2004 to Oct 31, 2012 · Michigan City, In
Cuso Financial Services, L.P. former
May 30, 2002 to Nov 24, 2003 · Fishers, In

Moves

a registration end followed by a registration begin elsewhere

Charles Schwab & Co., Inc. to MML Investors Services, LLC
left Aug 22, 2024, registered Sep 3, 2024 (12 days) · Affiliated broker-dealer or bank to another
Thurston Springer Advisors to Charles Schwab & Co., Inc.
left Nov 9, 2021, registered Mar 25, 2022 (136 days) · Affiliated broker-dealer or bank to another
Thurston Springer Financial to Thurston Springer Advisors
left Nov 23, 2020, registered Nov 23, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
Planned Investment Co., Inc. to Thurston Springer Financial
left Oct 31, 2012, registered Jan 23, 2013 (84 days) · Other
Cuso Financial Services, L.P. to Planned Investment Co., Inc.
left Nov 24, 2003, registered Mar 19, 2004 (116 days) · Other

Signals

Lisa Louise Lauria left Charles Schwab & Co., Inc. for Mml Investors Services, Llc (registered 2024-09-03)
Aug 22, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address