Lori L. Masterson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lori Lynne Masterson, who also goes by Kirk Masterson, Sax Masterson, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1992. Lori had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2015 - December 31, 2016
KMS FINANCIAL SERVICES, INC.
March 11, 2015 - November 7, 2018
KMS FINANCIAL SERVICES, INC.
January 25, 2012 - March 12, 2015
SIGNATOR FINANCIAL SERVICES, INC.
January 24, 2012 - March 12, 2015
SIGNATOR FINANCIAL SERVICES, INC.
January 4, 2006 - January 26, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
May 23, 2005 - January 26, 2012
PACIFIC WEST SECURITIES, INC.
December 12, 2003 - May 23, 2005
KOVACK SECURITIES INC.
August 17, 1992 - December 12, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
