Lori A. Puetz
Professional summary
Lori Ann Puetz, who also goes by Lori Ann Giese, Lori Giese, Lori A Puetz, Lori Puetz, Lori Ann Puetz, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Lori is registered as a RR (Registered Representative) and started their career in finance in 1996. Lori has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Puetz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355May 10, 2021 - February 6, 2026
EDWARD JONES
June 28, 2019 - February 6, 2026
EDWARD JONES
January 7, 2016 - June 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2016 - June 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2015 - January 5, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
December 8, 2009 - April 7, 2015
RBC CAPITAL MARKETS, LLC
December 8, 2009 - April 7, 2015
RBC CAPITAL MARKETS, LLC
April 2, 2007 - July 15, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 15, 2009
MORGAN STANLEY & CO. LLC
September 21, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
April 29, 1996 - September 14, 1998
PIPER SANDLER & CO.
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
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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