Lorette D. Farris
Professional summary
Lorette Dawn Farris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lorette is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Lorette had worked at 4 firms, which includes FAIRCHILD FINANCIAL GROUP INC., J. GREGORY & COMPANY INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1994 - November 23, 1999
FAIRCHILD FINANCIAL GROUP, INC.
April 29, 1993 - October 7, 1994
J. GREGORY & COMPANY, INC.
October 13, 1992 - April 14, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 13, 1992 - April 14, 1993
EQUITABLE ADVISORS, LLC
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
FAIRCHILD FINANCIAL GROUP, INC.
CRD#: 21404 / SEC#: , 8-38963
Contact information
Documents
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.
