Lori C. Sarian
Professional summary
Lori Cates Sarian, who also goes by Mary Lori Cates, Lori C. Sarian, Lori Sarian, is a registered financial professional currently at D-MERC SERVICES located in Lakewood, Colorado.
Lori is registered as a RR (Registered Representative) and started their career in finance in 1992. Lori has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Cates Sarian's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2019 - Present
D-MERC SERVICES
Office #2: 375 Balsam St, Lakewood, CO 80226October 25, 2018 - May 31, 2019
CABOT LODGE SECURITIES LLC
September 5, 2018 - October 23, 2018
SANDLAPPER SECURITIES, LLC
November 25, 2016 - August 29, 2018
FINANCIAL WEST GROUP
December 16, 2014 - November 24, 2016
SANDLAPPER SECURITIES, LLC
February 14, 2012 - December 15, 2014
WFG INVESTMENTS, INC.
April 1, 2008 - February 13, 2012
DEWAAY FINANCIAL NETWORK, LLC
March 12, 2004 - March 31, 2008
HARRISON DOUGLAS, INC.
August 8, 1997 - March 15, 2004
NORTH COAST SECURITIES CORPORATION
August 23, 1993 - July 18, 1997
SECURITIES SERVICE NETWORK, LLC
June 17, 1992 - June 9, 1993
AMERICAN TRUST SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/25/2024)
(4/30/2019)
(4/25/2019)
(6/3/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
D-MERC SERVICES
CRD#: 292310 / SEC#: , 8-70072
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORE COWBELL LLC | SHAREHOLDER | |
| SARIAN, LORI CATES | MANAGING PARTNER, CEO, CCO | 1870394 |
Red Flags
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