Lori J. Ellingson

CETERA INVESTMENT ADVISERS LLC

NEWPORT, OR

Some features on this profile are disabled

CRD#: 2644949

Professional summary

Lori Jean Ellingson, who also goes by Lori Jean Hutton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport, Oregon and CETERA WEALTH SERVICES, LLC located in Newport, Oregon.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Lori has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Jean Hutton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/1995; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: AGATE FINANCIAL PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES & INSURANCE; START DATE: 08/2021; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: COMPREHENSIVE FINANCIAL PLANNING AND INSURANCE; 3. NAME OF OTHER BUSINESS: NEWPORT OREGON PRIDE; INVESTMENT RELATED: NO; ADDRESS: NEWPORT, OR 97365; NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TREASURER FOR ORGANIZATION PROMITING LGBYQIA2S;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Jean Ellingson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEWPORT, OR

Current

August 24, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEWPORT, OR

Past

August 24, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

NEWPORT, OR

Past

October 23, 2020 - August 5, 2021

CLEARFP ADVISORS, LLC

RIA

CRD#: 310780

LAKE OSWEGO, OR

Past

January 10, 2019 - August 24, 2021

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

Newport, OR

Past

January 9, 2019 - August 24, 2021

LION STREET FINANCIAL, LLC

CRD#: 165828

LAKE OSWEGO, OR

Past

November 16, 2009 - December 31, 2018

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAKE OSWEGO, OR

Past

November 9, 2009 - December 31, 2018

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAKE OSWEGO, OR

Past

September 19, 2006 - November 12, 2009

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

SAN JOSE, CA

Past

March 9, 2004 - September 5, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SAN JOSE, CA

Past

August 23, 2002 - December 31, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SAN JOSE, CA

Past

April 12, 2002 - November 12, 2009

WORLD GROUP SECURITIES, INC.

CRD#: 114473

SAN JOSE, CA

Past

January 1, 1999 - July 15, 2002

WMA INVESTMENT ADVISORS, INC. (WMAIA)

RIA

CRD#: 108450

DULUTH , GA

Past

October 25, 1995 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/2/2025)

California
(9/28/2021)

Georgia
(9/28/2021)

Iowa
(8/6/2024)

Nevada
(9/28/2021)

Oregon
(8/24/2021)

IAR

Oregon
(6/29/2023)

Virginia
(9/28/2021)

Washington
(9/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/7/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/24/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/7/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lori J. Ellingson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Jean Ellingson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CLEARFP ADVISORS, LLC

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

WMA INVESTMENT ADVISORS, INC. (WMAIA)

WMA SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/1998

Series 63

Date: 10/24/1995

SIE

Date: 10/1/2018

Series 6

Date: 10/24/1995

Series 26

Date: 10/7/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors