Lorine A. Smith
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.
Lorine Ann Smith, who also goes by Lori Smith, was a registered financial professional .
Lorine is a previously registered financial professional and started their career in finance in 1994. Lorine had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4, Series 28 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
October 25, 1994 - May 6, 2019
CAPITAL ADVISORS, INC.
March 28, 1994 - December 7, 2017
MINSHALL & COMPANY INC.
Primary Firm SEC Registration
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
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
Series 28
Date: 7/5/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
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.
