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LM

Lori G. Morris

WATERLOO CAPITAL
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 2261771
LM

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lori Michelle Gann | Lori Michelle Miller

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.
Name of Business: HMI, LLC. Investment related. Address: 6 Rob Roy Road, Austin, TX 78746. Nature of Business: LLC was created to own a small percentage in a private equity investment. Position/Title/Relationship: Partner. Start Date: 2006-2007. Hours per month: Less than 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Filing the annual tax return. Partner and Advisor with MAM Group LLC dba AMG Wealth Advisors; manages client assets.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Gann Morris's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

CIMA®

Certified Investment Management Analyst

Experience

Current

April 17, 2018 - Present

WATERLOO CAPITAL

Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746
RIA
CRD#: 133705
AUSTIN, TX
Past

April 16, 2018 - April 19, 2024

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
Austin, TX
Past

February 13, 2013 - April 19, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
AUSTIN, TX
Past

February 13, 2013 - April 19, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
AUSTIN, TX
Past

July 11, 2003 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
AUSTIN, TX
Past

July 11, 2003 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
AUSTIN, TX
Past

June 13, 2002 - July 21, 2003

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
DALLAS, TX
Past

March 2, 1998 - July 21, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

January 17, 1995 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WATERLOO CAPITAL
WATERLOO CAPITAL
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

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(4/17/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/4/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/6/1994
National Commodity Futures Examination

Current Firm

WATERLOO CAPITAL
WATERLOO CAPITAL
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

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 Approved)
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Contact information

Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)
WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts6,775
AUM (Assets Under Management)$ 1,686,618,820

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.

Company Information

WATERLOO CAPITAL

WATERLOO CAPITAL

CRD#: 133705Austin, TX 78746

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