LB
Lori A. Bayba
MOORS & CABOT
Bradenton, FL
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CRD#: 1745534
LB
Professional summary
Lori Ann Bayba is a registered financial advisor currently at MOORS & CABOT, INC. located in Bradenton, Florida.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Lori has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF OTHER BUSINESS: ADVISORS FOR FINANCIAL INDEPENDENCE;
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES;
START DATE: 09/1998;
POSITION/TITLE/RELATIONSHIP: OWNER / REGISTERED REP;
APX NUMBER OF HOURS PER WEEK: 60;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Bayba's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Bayba's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 3, 2024 - Present
MOORS & CABOT, INC.
Office #2: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Bradenton, FL
Current
August 30, 2024 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Past
January 31, 2017 - September 9, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BRADENTON, FL
Past
October 24, 2005 - September 9, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
BRADENTON, FL
Past
May 4, 2004 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
August 7, 1998 - April 30, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
April 5, 1990 - August 10, 1998
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
October 29, 1987 - April 23, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/30/2024)
RR
Arizona(3/17/2025)
RR
California(8/30/2024)
RR
Connecticut(8/30/2024)
RR
Florida(8/30/2024)
IAR
Florida(9/3/2024)
RR
Georgia(8/30/2024)
RR
Indiana(9/11/2025)
RR
Massachusetts(8/30/2024)
RR
New Jersey(8/30/2024)
RR
New York(8/30/2024)
RR
North Carolina(8/30/2024)
RR
Pennsylvania(8/30/2024)
RR
Rhode Island(8/30/2024)
RR
South Carolina(8/30/2024)
RR
Vermont(8/30/2024)
RR
Virginia(8/30/2024)
RR
Wisconsin(8/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
