Carol J. Lorts
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.
Carol Jones Lorts, who also goes by Carol Ann Jones, Carol Ann Lorts, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1995. Carol had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9, Series 53 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
January 11, 2013 - January 16, 2014
STRUCTURED ASSET INVESTORS, LLC
January 8, 2013 - January 16, 2014
WELLS FARGO SECURITIES, LLC
March 14, 2005 - April 18, 2012
ALLSPRING FUNDS DISTRIBUTOR, LLC
March 7, 2005 - April 19, 2012
ALLSPRING FUNDS MANAGEMENT, LLC
July 20, 2001 - March 30, 2005
WELLS FARGO INVESTMENTS, LLC
June 29, 2001 - March 30, 2005
WELLS FARGO INVESTMENTS, LLC
July 13, 1998 - June 6, 2001
STEPHENS
May 6, 1996 - December 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
November 16, 1995 - November 13, 1997
WELLS FARGO SECURITIES INC.
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
STRUCTURED ASSET INVESTORS, LLC
CRD#: 131539 / SEC#: 801-63263
Contact information
Red Flags
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