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THOMAS JOSEPH LALLEY
CRD#: 2385518
IA
Investment Adviser
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Previous Broker
MAI CAPITAL MANAGEMENT, LLCCRD#: 109807 625 Eden Park Drive, Suite 310
CINCINNATI, OH 45202
Registration History
1995200020052010201520202025IAMAI CAPITAL MANAGEMENT, LLC (CRD# 109807)2019 - Present (5 years)BNFP ADVISOR SERVICES, LLC (CRD# 42046)2005 - 2015 (9 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2000 - 2005 (4 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1996 - 2000 (4 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1993 - 1996 (2 years)IAJOHN D. DOVICH & ASSOCIATES, LLC (CRD# 120458)2001 - 2019 (17 years)
License(s)

State Registrations

IA
Ohio 7/17/2019

Current Registration(s)
IA
MAI CAPITAL MANAGEMENT, LLC (CRD#:109807)
625 Eden Park Drive, Suite 310, CINCINNATI, OH 45202
Registered with this firm since 7/17/2019

Previous Registration(s)
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IA
11/16/2001 - 07/08/2019 JOHN D. DOVICH & ASSOCIATES, LLC (CRD#:120458) CINCINNATI, OH
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05/16/2005 - 02/19/2015 NFP ADVISOR SERVICES, LLC (CRD#:42046) CINCINNATI, OH
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11/03/2000 - 03/17/2005 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
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05/16/1996 - 08/30/2000 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
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09/10/1993 - 05/16/1996 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
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Disclosures
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