Lori K. Buonanno-felton
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 Kae Buonanno-felton, who also goes by Lori Kae Buonanno, Lori Felton Curtiss, Lori Kae Felton, Lori Kae Lewis, Lori Buonanno Felton Oliveira, Lori Kae Oliveira, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1985. Lori had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2006 - May 16, 2012
AMEGY INVESTMENTS, INC.
October 3, 2005 - May 16, 2012
AMEGY INVESTMENTS, INC.
March 22, 2004 - October 12, 2004
UBS FINANCIAL SERVICES INC.
January 2, 2004 - March 25, 2004
GROVE POINT INVESTMENTS, LLC
March 21, 2002 - December 16, 2002
STANFORD GROUP COMPANY
March 2, 1998 - October 30, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 7, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
February 21, 1994 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
October 4, 1991 - May 21, 1992
HYM FINANCIAL, INC.
June 27, 1991 - September 30, 1991
INVEST FINANCIAL CORPORATION
November 11, 1988 - May 28, 1991
INVEST FINANCIAL CORPORATION
July 8, 1986 - November 30, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
December 13, 1985 - July 18, 1986
PRINCIPAL SECURITIES, INC.
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
AMEGY INVESTMENTS, INC.
CRD#: 120145 / SEC#: 801-61121, 8-65399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZB, N.A. | OWNER | |
| CHAPA, SCOTT EDWARD | DIRECTOR / SENIOR VICE PRESIDENT | 4309262 |
| DILLARD, KAREN | ASSISTANT SECRETARY | |
| KNELL, TERRY LYNN | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER - BROKER DEALER & INVESTMENT ADVISORY SERVICES | 1733584 |
| NEWMAN, VALERIE LAYNE | VICE PRESIDENT | 2763957 |
| OUYANG, JANE JIA | DIRECTOR/SVP/CHIEF OPERATIONS OFFICER/CFO/FINOP | 1817244 |
| PAUL, ROSALIE JANISE | ASST. VICE PRESIDENT, COMPLIANCE OFFICER - INSURANCE ACTIVITIES | 2217903 |
| SHELTON, ROBERT ANDREWS | DIRECTOR / SENIOR VICE PRESIDENT | 2561167 |
| TAYLOR, LINCOLN EARL | PRESIDENT & DIRECTOR | 5011548 |
Red Flags
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