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LC

Lori A. Crosley

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CRD#: 2646874
LC

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 Ann Crosley was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 1995. Lori had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 26, 2023 - April 5, 2024

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

September 13, 2016 - December 27, 2018

MORNINGSTAR INVESTMENT SERVICES LLC

BD
CRD#: 112525
CHICAGO, IL
Past

July 22, 2015 - August 8, 2016

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
CHICAGO, IL
Past

December 12, 2012 - April 16, 2013

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

December 12, 2012 - April 16, 2013

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

January 4, 2010 - March 22, 2012

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MENOMONEE FALLS, WI
Past

November 5, 2009 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

January 17, 2003 - May 6, 2003

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
CHICAGO, IL
Past

January 17, 2003 - May 6, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 13, 1998 - January 17, 2003

PERSHING LLC

RIA
CRD#: 7560
CHICAGO, IL
Past

August 20, 1997 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 2, 1995 - February 11, 1997

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/10/1997
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/10/2010
General Securities Principal Examination

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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.

Company Information

ANDES CAPITAL GROUP, LLC

CRD#: 139212

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