Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Ross is a financial advisor at RBC Capital Markets, LLC. Lori has been in the industry for 17 years. Lori is registered in Florida, Minnesota and Pennsylvania. Lori has a Series 7, Series 63 and SIE license and has been active as a licensed securities professional since 2003. Prior to joining RBC Capital Markets, LLC, Lori worked at UBS Financial Services Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
FL
01/27/2014 - Present
RBC Capital Markets, LLC (Sarasota FL)
PA
03/07/2012 - 01/07/2014
UBS FINANCIAL SERVICES INC. (SEWICKLEY PA)
PA
06/01/2009 - 04/09/2010
MORGAN STANLEY SMITH BARNEY (PITTSBURGH PA)
PA
02/03/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PITTSBURGH PA)
NY
11/11/2003 - 04/06/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 12/04/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
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 GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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