Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Smith is a financial advisor with over 20 years of experience in the industry. Lori is currently registered with Independent Advisor Alliance, LLC, and has previously worked at MML Investors Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., BB&T Securities, LLC and Scott & Stringfellow, LLC. Lori is a Series 63, 66, and 7 licensed representative and holds the SIE certification. Lori is passionate about helping her clients achieve their financial goals and specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for both businesses and individuals.
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.
A percentage of the total value of assets under management is charged.
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2
NC
02/03/2025 - Present
Independent Advisor Alliance, LLC (Clemmons NC)
NC
07/27/2022 - 01/17/2023
MML INVESTORS SERVICES, LLC (Winston Salem NC)
NC
01/24/2022 - 07/08/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENSBORO NC)
NC
01/27/2014 - 02/21/2020
UBS FINANCIAL SERVICES INC. (WINSTON-SALEM NC)
NC
01/02/2013 - 11/20/2013
BB&T SECURITIES, LLC (WINSTON-SALEM NC)
NC
06/08/2011 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (WINSTON-SALEM NC)
NC
05/14/1998 - 05/25/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENSBORO NC)
BOTH
Issued 05/15/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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