Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Faas is an investment advisor representative currently registered with Morgan Stanley. Lori Faas has been in the securities industry for 35 years. Previously, Lori Faas was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and PAINEWEBBER INCORPORATED. Lori Faas has passed the Series 63, SIE, and Series 7 exams. Lori Faas holds 53 state licenses and 2 IA licenses. Lori Faas specializes in various types of investment advice, including: Portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
11/21/2022 - Present
Morgan Stanley (Garden City NY)
NY
07/01/1992 - 11/22/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREAT NECK NY)
NJ
11/25/1987 - 06/03/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 03/30/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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