Lori T. Moose
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 Tradnack Moose, who also goes by Lori T Andersen, Lori Tradnack Andersen, Lori Andersen Moose, Lori Lynn Rhea, Lori T Rhea, Lori Rhea, Lori Lynn Tradnack, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1985. Lori had worked at 10 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
May 21, 2012 - November 14, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 21, 2012 - November 14, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 10, 2008 - August 9, 2010
LPL FINANCIAL LLC
April 10, 2008 - August 9, 2010
LPL FINANCIAL LLC
August 30, 2007 - March 19, 2008
FIRST LEGACY SECURITIES, LLC
July 19, 2004 - August 10, 2007
CROW FINANCIAL ADVISORS
July 7, 2004 - March 19, 2008
FIRST LEGACY SECURITIES, LLC
March 13, 2003 - July 19, 2004
LPL FINANCIAL LLC
October 22, 2002 - July 19, 2004
LPL FINANCIAL LLC
August 21, 1996 - October 21, 2002
DUNWOODY BROKERAGE SERVICES, INC.
July 25, 1991 - February 15, 1995
MORGAN STANLEY DW INC.
March 16, 1989 - January 31, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 19, 1986 - February 23, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
June 18, 1985 - January 6, 1986
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
