Lori A. Ulm
Professional summary
Lori Ann Ulm, CFP®, who also goes by Lori Donohue, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Plymouth, Massachusetts and CETERA ADVISORS LLC located in Plymouth, Massachusetts.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Lori has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Ulm's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1996
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 34 Main Street Extension Ste 201, Plymouth, MA 02360Office #2: 1500 District Ave, Burlington, MA 01803January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 34 Main Street Extension Ste 201, Plymouth, MA 02360Office #2: 1500 District Ave, Burlington, MA 01803January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
March 18, 2001 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 10, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
April 28, 1997 - January 7, 2000
SII INVESTMENTS, INC.
January 9, 1995 - April 17, 1995
FIDELITY EQUITY SERVICES CORPORATION
January 4, 1993 - April 25, 1997
MARINER FINANCIAL SERVICES, INC.
August 6, 1990 - January 11, 1993
FIDELITY EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2022)
(1/4/2019)
(1/1/2004)
(1/1/2004)
(7/10/2025)
(1/1/2004)
(3/21/2024)
(3/16/2020)
(10/5/2023)
(8/18/2006)
(10/25/2022)
(3/19/2007)
(9/25/2018)
(7/9/2013)
(1/1/2004)
(1/2/2013)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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