Lorraine A. Lods
Professional summary
Lorraine Ann Lods is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Lorraine is registered as a RR (Registered Representative) and started their career in finance in 1990. Lorraine has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lorraine Ann Lods's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2009 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416August 11, 2004 - November 3, 2009
EQUITABLE DISTRIBUTORS, LLC
October 24, 2000 - November 13, 2002
DEAM INVESTOR SERVICES, INC.
March 6, 2000 - September 7, 2004
DWS DISTRIBUTORS, INC.
November 18, 1997 - November 12, 1999
NUVEEN SECURITIES, LLC
November 14, 1995 - October 20, 1997
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 1, 1994 - October 30, 1995
CHEMICAL INVESTMENT SERVICES CORP.
August 17, 1993 - August 1, 1994
IFMG SECURITIES, INC.
February 7, 1992 - December 14, 1993
WALL STREET ACCESS
August 8, 1990 - January 24, 1992
BNY MELLON 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
(7/20/2022)
(5/31/2019)
(12/7/2009)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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