Lori Gann Morris
AIF®, CIMA®Professional Summary
Lori Gann Morris, AIF®, CIMA®, who also goes by Lori Michelle Gann, Lori Michelle Miller, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas. Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Lori has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lori Michelle Gann, Lori Michelle Miller
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT | BAY RIVERS GROUP WEALTH PARTNERS | AVELLIE WEALTH MANAGEMENT LLC
Contact Information
Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746Phone Number
(512) 777-5900# of Employees
64SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
7,306AUM (Assets Under Management)
$2,261,124,371Similar Advisors
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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.
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Primary Firm SEC Registration
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT | BAY RIVERS GROUP WEALTH PARTNERS | AVELLIE WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(4/17/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Lori Gann Morris's CRS (Customer Relationship Summary).
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