Lori Max
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 Max, who also goes by Lori Sue Max, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1993. Lori had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1998 - November 11, 1998
TASIN & COMPANY, INC.
June 19, 1997 - September 3, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
April 2, 1997 - May 30, 1997
INSTITUTIONAL EQUITY CORPORATION
December 10, 1996 - May 21, 1997
JOSEPH DILLON & COMPANY INC.
March 30, 1995 - December 4, 1996
KENSINGTON WELLS INCORPORATED
September 15, 1993 - February 17, 1995
STRATTON OAKMONT INC.
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
TASIN & COMPANY, INC.
CRD#: 30709 / SEC#: , 8-45103
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 15 |
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.
