Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Sommer has been in the financial services industry since 1985 and is currently registered with UBS Financial Services Inc. Lori Sommer has been with UBS Financial Services Inc. since 2013. Previously, Lori Sommer was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2003 to 2008, Citigroup Global Markets Inc. from 1990 to 2003, Kidder, Peabody & Co. Incorporated from 1987 to 1990, and ISFA Corporation from 1984 to 1987. Lori Sommer holds the Series 7, Series 63 and Series 65 licenses and the SIE designation. Lori Sommer is a Registered Representative 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
11/28/2008 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
09/25/2003 - 12/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NY
09/04/1990 - 07/25/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/04/1987 - 09/13/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
10/26/1984 - 06/25/1987
ISFA CORPORATION
IA
Issued 01/20/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
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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