AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LS

Lori C. Sarian

D-MERC SERVICES
Lakewood, CO
Some features on this profile are disabled
CRD#: 1870394
LS

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 and BLEY INVESTMENT GROUP, INC. located in Fort Worth, Texas.

Lori is registered as a RR (Registered Representative) and started their career in finance in 1992. Lori has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Lori Cates | Lori C. Sarian | Lori Sarian

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lori Cates Sarian's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 23, 2019 - Present

D-MERC SERVICES

Office #2: 375 Balsam St, Lakewood, CO 80226
BD
CRD#: 292310
Lakewood, CO
Current

January 2, 2026 - Present

BLEY INVESTMENT GROUP, INC.

Office #1: 6300 Ridglea Place Suite 508, Fort Worth, TX 76116
BD
CRD#: 26678
Fort Worth, TX
Past

October 25, 2018 - May 31, 2019

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Golden, CO
Past

September 5, 2018 - October 23, 2018

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Golden, CO
Past

November 25, 2016 - August 29, 2018

FINANCIAL WEST GROUP

BD
CRD#: 16668
Golden, CO
Past

December 16, 2014 - November 24, 2016

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Littleton, CO
Past

February 14, 2012 - December 15, 2014

WFG INVESTMENTS, INC.

BD
CRD#: 22704
LITTLETON, CO
Past

April 1, 2008 - February 13, 2012

DEWAAY FINANCIAL NETWORK, LLC

BD
CRD#: 30767
WHEAT RIDGE, CO
Past

March 12, 2004 - March 31, 2008

HARRISON DOUGLAS, INC.

BD
CRD#: 16515
WHEAT RIDGE, CO
Past

August 8, 1997 - March 15, 2004

NORTH COAST SECURITIES CORPORATION

BD
CRD#: 35982
SAN FRANCISCO, CA
Past

August 23, 1993 - July 18, 1997

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

June 17, 1992 - June 9, 1993

AMERICAN TRUST SECURITIES CORPORATION

BD
CRD#: 26014

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(12/31/2025)
RR
California
(1/2/2026)
RR
Colorado
(1/2/2026)
RR
Maryland
(1/2/2026)
RR
Virginia
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/22/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BLEY INVESTMENT GROUP, INC.
ASSET INCOME SECURITIES, INC. | BLEY INVESTMENTS GROUP, INC. | BLEY INVESTMENT GROUP, INC. | ASSURANCE INCOME SECURITIES, INC.

CRD#: 26678 / SEC#: , 8-42701

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6300 Ridglea Place Suite 519, Fort Worth, TX 76109-4911
Mailing Address
6300 Ridglea Place Suite 508, Fort Worth, TX 76116
Phone number
(817) 732-2442
Established
Texas since 05/14/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PIERCE, PAIGE WYMANPRESIDENT, CEO, FINOP1395210
BRIGGS, JONATHAN WILBORCHIEF COMPLIANCE OFFICER3215005

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.

Company Information

BLEY INVESTMENT GROUP, INC.

CRD#: 26678Lakewood, CO

TRUST BUT VERIFY

Monitor Lori Sarian

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.