Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Jane Baum is an Investment Advisor Representative with Raymond James Financial Services Advisors, Inc. based in St. George, UT. Lori has been in the industry since August 21, 1989. Lori previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and Piper Jaffray Inc. Lori is registered with FINRA and is licensed in 21 states. Lori holds Series 7, 24, 63 and 66 licenses.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
UT
05/15/2015 - Present
Raymond James Financial Services Advisors, Inc. (St. George UT)
UT
11/17/1994 - 05/14/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAINT GEORGE UT)
MN
08/22/1989 - 11/28/1994
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BOTH
Issued 10/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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