Lori A. Price
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 Price, who also goes by Lori Ann Price, Lori Ann Stuart, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1986. Lori had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2022 - July 10, 2026
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 17, 2019 - July 10, 2026
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
June 6, 2019 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 12, 2009 - June 17, 2019
UBS FINANCIAL SERVICES INC.
January 12, 2009 - June 17, 2019
UBS FINANCIAL SERVICES INC.
April 26, 2002 - January 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1997 - January 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1994 - April 23, 1997
CITIGROUP GLOBAL MARKETS INC.
June 26, 1986 - October 13, 1986
FORESTERS FINANCIAL SERVICES, 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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
