Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Heger is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Lori has been working in the financial industry since March 14, 2001. Lori has been associated with UBS Financial Services Inc., Morgan Stanley & Co., Incorporated, and Morgan Stanley DW Inc. Lori is licensed in 52 states and has a strong record of success in providing financial advice to a wide range of clients, including individuals, corporations, and institutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
05/15/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
IL
08/10/2007 - 06/04/2009
UBS FINANCIAL SERVICES INC. (OAKBROOK TERRACE IL)
IL
04/02/2007 - 08/14/2007
MORGAN STANLEY & CO., INCORPORATED (OAK BROOK IL)
IL
03/14/2001 - 04/02/2007
MORGAN STANLEY DW INC. (OAK BROOK IL)
BOTH
Issued 06/27/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/20/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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