Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Rupe is a financial advisor with Raymond James & Associates, Inc. based in Louisville, KY. Lori has been a registered representative since 1991 and has worked with a number of firms including Wells Fargo Advisors and Merrill Lynch. Lori is a licensed securities professional, having passed several examinations, including Series 6, 7, 63 and 66. Lori has a long and diverse career in the industry, having worked at several different firms, starting her career at The Prudential Insurance Company of America.
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.
Please see note in schedule d - miscellaneous
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.
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2
KY
01/05/2018 - Present
Raymond James & Associates, Inc. (LOUISVILLE KY)
KY
05/06/2013 - 01/11/2018
WELLS FARGO CLEARING SERVICES, LLC (LOUISVILLE KY)
KY
05/22/1997 - 06/19/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOUISVILLE KY)
MN
02/12/1997 - 03/07/1997
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
OH
06/15/1994 - 01/10/1997
DONAHUE SECURITIES, INC. (CINCINNATI OH)
OH
09/14/1993 - 12/31/1993
CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)
NJ
07/02/1991 - 06/18/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
07/02/1991 - 06/18/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 11/23/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/22/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/01/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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