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LS

Lori G. Schram

SCHRAM, LORI
Kansas City, MO 64114
Some features on this profile are disabled
CRD#: 1988741
LS

Professional summary

Lori Gunn Schram, who also goes by Lori Gunn Smith, is a registered financial advisor currently at SCHRAM, LORI located in Kansas City, Missouri.

Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Lori has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lori Gunn Smith

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) 05/24/1999: INVESTMENT PLANNING SOLUTIONS, INC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - 10% OF TIME SPENT (2) 12/21/2012: LEFT BRAIN DESIGN - NOT INV REL - BUSINESS OWNER - SOLE PROPRIETOR. INTERIOR DESIGN/DECORATING BUSINESS (3) 12/10/2014: OMICRON LAND DEVELOPMENT - INV REL - 405 N. MAIN ST. TULSA, OK 74103 - REAL ESTATE DEVELOPMENT - START 08/15/2014 - 10 HR/MO NONE DURING SECS TRDG HRS - INTERIOR DESIGNER CAPACITY FOR MULTI-FAMILY CONDO DEVELOPMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Gunn Schram'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®
None

Experience

Current

March 22, 2024 - Present

SCHRAM, LORI

Office #1: 106 E. 104th St, Kansas City, MO 64114
RIA
CRD#: 329637
Kansas City, MO
Past

May 7, 1996 - April 25, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
TULSA, OK
Past

March 18, 1996 - April 25, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
TULSA, OK
Past

January 2, 1996 - March 21, 1996

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 4, 1989 - December 29, 1995

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL

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.

Highlighted states indicate IAR registrations

IAR
Missouri
(3/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/2/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/1999
General Securities Principal Examination

Current Firm

SL
SCHRAM, LORI
SCHRAM, LORI

CRD#: 329637 / SEC#:

Missouri
Registered Investment Advisory firm - (3/22/2024 Approved)
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Contact information

Main Address
106 E. 104th St, Kansas City, MO 64114
Mailing Address
Phone number
(405) 948-7700
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts8
AUM (Assets Under Management)$ 8,120,000

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

SCHRAM, LORI

CRD#: 329637Kansas City, MO 64114

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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