Lori M. Shireman
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 Marie Shireman, who also goes by Lori Shireman, Lori Marie Wellman, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1993. Lori had worked at 9 firms and has passed the Series 65, 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
June 1, 2011 - April 22, 2016
CROWN CAPITAL SECURITIES, L.P.
July 6, 2000 - April 15, 2016
SHIREMAN INVESTMENT & FINANCIAL SERVICES, INC.
December 1, 1999 - June 1, 2011
INVESTORS CAPITAL CORP.
January 24, 1997 - November 19, 1999
SUNPOINT SECURITIES, INC.
February 6, 1995 - February 4, 1997
BROKER DEALER FINANCIAL SERVICES CORP.
February 16, 1994 - February 27, 1995
GLP INVESTMENT SERVICES, LLC
March 8, 1993 - February 16, 1994
DICKINSON & CO.
January 20, 1993 - March 9, 1993
IDS LIFE INSURANCE COMPANY
January 20, 1993 - March 9, 1993
AMERIPRISE FINANCIAL SERVICES, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
