Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Theis is a financial professional with over 30 years of experience in the industry. Lori holds multiple licenses and certifications, including Series 6, 7, 9, 10, 63, 99TO, and the SIE. Lori is currently registered with Charles Schwab & CO., Inc. and has been registered since December 1995. Prior to joining Charles Schwab & CO., Inc., Lori was registered with Jackson National Financial Services, Inc. from February 1993 to January 1996. Lori's professional experience spans multiple states and her expertise encompasses a range of financial services, including financial planning and portfolio management.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
12/21/1995 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
CA
02/22/1993 - 01/01/1996
JACKSON NATIONAL FINANCIAL SERVICES, INC. (LOS ANGELES CA)
BC
Issued 02/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/18/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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