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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Vorwerk is a financial advisor at UBS Financial Services Inc. with over 30 years of experience in the industry. Lori has experience working with a variety of clients, including individuals, corporations, and charitable organizations. Lori holds the Series 7, Series 9, Series 10, Series 53, and Series 66 securities licenses, as well as the SIE exam. Lori has a history of working for firms like Morgan Stanley and Rotan Mosle. Lori is registered with the state of Texas as a broker-dealer and investment advisor representative.
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.
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.
See schedule d - miscellaneous
1
2
TX
03/15/2017 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
11/12/2012 - 03/16/2017
MORGAN STANLEY (HOUSTON TX)
NJ
01/01/1991 - 03/10/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
04/09/1985 - 01/01/1991
ROTAN MOSLE INC.
NA
06/23/1981 - 08/31/1984
EPPLER, GUERIN & TURNER, INC.
BOTH
Issued 08/02/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/23/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/08/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2012
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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