Lori A. Samuels
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 Samuels, who also goes by Lori Abramowitz, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1986. Lori had worked at 8 firms and has passed the Series 63, SIE, Series 3 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 18, 2022 - July 11, 2024
DELPHOS MMJ L.P.
January 4, 2016 - February 25, 2022
CANTOR FITZGERALD & CO.
June 5, 2015 - January 6, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 5, 2013 - June 5, 2015
STERNE, AGEE & LEACH, INC.
February 28, 2011 - March 7, 2013
CANTOR FITZGERALD & CO.
April 23, 2010 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
March 4, 2009 - April 23, 2010
INTL FCSTONE CREDIT TRADING LLC
September 20, 1996 - March 17, 2009
UBS SECURITIES LLC
October 22, 1986 - September 20, 1996
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
DELPHOS MMJ L.P.
CRD#: 137389 / SEC#: , 8-67083
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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