Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Gustafson is a financial advisor at Oppenheimer & Co. Inc. Lori has been in the financial services industry since 1991. Lori previously worked at Roosevelt & Cross, Incorporated, Janney Montgomery Scott LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc., and Conning & Company. Lori holds the Series 63, Series 7, Series 52 and SIE licenses. Lori is registered with the state of Connecticut, Illinois, and New York.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
05/19/2011 - Present
Oppenheimer & Co. Inc. (CHESHIRE CT)
CT
08/04/2009 - 05/24/2011
ROOSEVELT & CROSS, INCORPORATED (EAST HARTFORD CT)
CT
05/30/2006 - 07/31/2009
JANNEY MONTGOMERY SCOTT LLC (GLASTONBURY CT)
NY
03/08/2006 - 05/09/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
12/08/1992 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
IL
12/20/1991 - 05/13/1992
CONNING & COMPANY (OAKBROOK TERRACE IL)
NA
01/26/1989 - 09/12/1989
BNE CAPITAL MARKETS, INC.
BC
Issued 12/01/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1992
Series 7 - General Securities Representative Examination
BC
Issued 07/28/1986
Series 52 - Municipal Securities Representative Examination
Active
Inactive
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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