Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Wiese is an active financial advisor with over 10 years of experience in the industry. Lori currently works with Wells Fargo Clearing Services, LLC and previously worked at CETERA INVESTMENT SERVICES LLC. Lori has a Series 7, Series 9, Series 10, Series 63, Series 65, Series 99TO and SIE licenses. Lori has been registered with the state of South Dakota since 2014 and has an active Investment Advisor license. Lori specializes in portfolio management for businesses and individuals and provides financial planning services.
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.
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.
Investment consulting services to institutional clients
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.
1
2
MO
08/03/2020 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
SD
03/20/2012 - 03/03/2014
CETERA INVESTMENT SERVICES LLC (SIOUX FALLS SD)
IA
Issued 07/31/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/25/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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