Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lorraine? Claim Your ProfileLorraine Josephine Fagen is a financial professional with over 27 years of experience in the financial services industry. Lorraine has a broad range of experience, having worked for Oppenheimer & Co. Inc., CIBC World Markets Corp., and TIAA-CREF Individual & Institutional Services, LLC before joining Wells Fargo Clearing Services, LLC in 2018. Lorraine holds a Series 7, Series 63, and Series 66 license and has been registered as an Investment Advisor Representative in North Carolina and Texas. Lorraine is dedicated to providing her clients with personalized financial advice and guidance.
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.
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2
NC
03/19/2018 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
07/08/2005 - 06/13/2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NY
01/03/2003 - 06/09/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
10/01/1993 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
02/20/1990 - 08/02/1993
OPPENHEIMER & CO., INC. (NEW YORK NY)
BOTH
Issued 07/28/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
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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