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Lori Cooper Thompson

Pershing LLC

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About Lori Cooper Thompson

Lori Thompson is a registered representative with Pershing LLC. Lori has been in the financial services industry since 2000 and has a strong background in securities trading and investment management. Lori holds a Series 7, 24, 52TO, 63, 99TO and SIE license. Lori has been with Pershing LLC since 2008. Prior to that, Lori worked at Knight Equity Markets, L.P., Donaldson & Co., Incorporated, Charles Schwab & Co., Inc., and E*TRADE Securities, Inc. Lori has a deep understanding of the financial markets and is committed to providing her clients with personalized investment advice.

Firm Information

Lori Thompson is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Lori Thompson’s Registration & Firm History

FL

07/03/2008 - Present

Pershing LLC (LAKE MARY FL)

GA

12/04/2003 - 06/05/2008

KNIGHT EQUITY MARKETS, L.P. (ATLANTA GA)

GA

09/10/2001 - 01/07/2004

DONALDSON & CO., INCORPORATED (ATLANTA GA)

TX

04/24/2000 - 04/11/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NJ

08/30/1999 - 03/28/2000

E*TRADE SECURITIES, INC. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 08/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/19/1999

Series 24 - General Securities Principal Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Lori Cooper Thompson.
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