Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lorraine? Claim Your ProfileLorraine Adams is a financial advisor with over 10 years of experience in the financial services industry. Lorraine is currently registered with Raymond James & Associates, Inc. and holds a Series 7, Series 66, and SIE license. Lorraine has a strong background in providing financial planning and portfolio management services to individuals, corporations, and institutions. Lorraine has held previous roles with UBS Financial Services Inc., Morgan Stanley, and Charles Schwab & Co., Inc.
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.
Please see note in schedule d - miscellaneous
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
CA
04/24/2023 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
CA
10/11/2018 - 04/24/2023
UBS FINANCIAL SERVICES INC. (BREA CA)
CA
01/11/2018 - 09/25/2018
MORGAN STANLEY (IRVINE CA)
CA
11/21/2016 - 11/27/2017
CHARLES SCHWAB & CO., INC. (NEWPORT BEACH CA)
CA
01/01/2014 - 11/08/2016
UBS FINANCIAL SERVICES INC. (IRVINE CA)
BOTH
Issued 12/26/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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