Lorrie M. Mayes
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.
Lorrie Martin Mayes, who also goes by Lorrie E Mayes, Lorrie Ellen Mayes, Lorrie Ellen Martin Mayes, Lorrie E Martin, was a registered financial professional .
Lorrie is a previously registered financial professional and started their career in finance in 1993. Lorrie had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 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
November 6, 2018 - February 24, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 30, 2018 - February 24, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 15, 2009 - February 9, 2012
WADDELL & REED
May 15, 2009 - February 9, 2012
WADDELL & REED
July 13, 2007 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2007 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2006 - July 5, 2007
U.S. BANCORP INVESTMENTS, INC.
May 19, 2003 - July 5, 2007
U.S. BANCORP INVESTMENTS, INC.
June 30, 1993 - December 31, 1994
TOUCHSTONE SECURITIES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
