Lori A. Green
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lori Ann Green, who also goes by Lori Ann Amunson, Lori Amunson, Lori Ann Keating, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1985. Lori had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1992 - July 1, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
June 2, 1992 - November 6, 1992
DAIN RAUSCHER INCORPORATED
April 24, 1992 - February 4, 1993
PACIFIC SOUTHERN SECURITIES, INC.
January 25, 1989 - April 24, 1992
FIRST CHOICE SECURITIES CORP.
March 25, 1988 - March 16, 1989
WILLIAM BARTON FINANCIAL, INC.
July 10, 1985 - October 27, 1987
SECURITIES USA, INC.
June 25, 1985 - July 29, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PRINCIPAL FINANCIAL SECURITIES,INC.
CRD#: 260 / SEC#: , 8-30519
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
