Unclaimed
Lori Beth Wasserman is a registered representative with Rose & Co. Capital Advisors, LLC. Lori has been in the securities industry since 2001. Lori holds the Series 63 and Series 7 registrations. Lori is currently registered in New York. Lori was previously employed at NEWOAK CAPITAL MARKETS LLC, TELLSON SECURITIES, BUCKLEY & YOUNG, LLC, NOMURA SECURITIES INTERNATIONAL, INC., J.P. MORGAN SECURITIES LLC, J.P. MORGAN SECURITIES INC., BEAR, STEARNS & CO. INC., LEHMAN BROTHERS INC., LEHMAN GOVERNMENT SECURITIES INC., and LEHMAN SPECIAL SECURITIES 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.
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.
1
2
NY
03/09/2021 - Present
Rose & Co. Capital Advisors, LLC (NEW YORK NY)
NY
01/02/2020 - 03/30/2020
NEWOAK CAPITAL MARKETS LLC (NEW YORK NY)
NY
11/21/2017 - 10/31/2019
TELLSON SECURITIES (New York NY)
NY
12/18/2014 - 02/27/2015
BUCKLEY & YOUNG, LLC (RYE NY)
NY
10/18/2010 - 11/08/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
10/01/2008 - 10/14/2010
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/02/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
07/01/2003 - 06/02/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
05/17/1998 - 06/03/2003
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/05/1992 - 06/19/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/05/1992 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/05/1992 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BC
Issued 01/25/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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