Loraine K. Wiser
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.
Loraine Kay Wiser, who also goes by Loraine Kay Williams, Loraine Kay Wisner, was a registered financial professional .
Loraine is a previously registered financial professional and started their career in finance in 1995. Loraine had worked at 12 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2013 - October 1, 2013
SHORELINEAMBROSE ADVISORS, LLC
June 19, 2012 - April 19, 2013
LPS CAPITAL LLC
March 7, 2012 - October 4, 2013
PROFINANCE ASSOCIATES, INC.
December 15, 2011 - June 1, 2012
CARIS & COMPANY, INC.
February 17, 2011 - June 23, 2011
VERTICAL CAPITAL SECURITIES, LLC
January 21, 2011 - June 20, 2011
WBB SECURITIES, LLC
May 11, 2010 - June 22, 2011
CARIS & COMPANY, INC.
February 3, 2010 - January 3, 2011
SANTA RITA PARTNERS, INC.
August 20, 2009 - June 30, 2010
CYGNI SECURITIES, LLC
October 18, 2002 - November 5, 2008
CUSO FINANCIAL SERVICES, L.P.
May 14, 1999 - September 28, 2002
LPL FINANCIAL LLC
September 1, 1998 - April 1, 1999
ROBERTSON STEPHENS, INC.
May 4, 1995 - September 1, 1998
BANCAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SHORELINEAMBROSE ADVISORS, LLC
CRD#: 141046 / SEC#: , 8-67357
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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