Lorrie M. Wacker
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.
Lorrie M Wacker, who also goes by Lorrie Marie Rundlett, Lorrie Marie Wacker, Lorrie Marie Wacker, Lorrie Wacker, was a registered financial professional .
Lorrie is a previously registered financial professional and started their career in finance in 1988. Lorrie had worked at 5 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2020 - July 13, 2021
STATE FARM VP MANAGEMENT CORP.
October 31, 2019 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
December 5, 2008 - December 23, 2009
CETERA INVESTMENT SERVICES LLC
December 2, 2008 - December 23, 2009
CETERA INVESTMENT SERVICES LLC
June 12, 2008 - October 31, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
April 23, 2008 - October 31, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
September 10, 2004 - September 1, 2006
CETERA INVESTMENT SERVICES LLC
October 6, 2000 - August 30, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
February 20, 1992 - June 1, 1999
ACCUTRADE INC.
August 25, 1988 - November 23, 1991
KFS BD, 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
Series 6TO
Date: 10/31/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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