Lori A. Adams
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 A Adams, who also goes by Lori Ann Adams, Lori Ann Wayton, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1995. Lori had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4, Series 53, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2004 - March 5, 2014
GFO ADVISORY SERVICES, LLC
December 31, 2001 - May 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - May 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 16, 1999 - March 24, 2000
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
December 8, 1995 - January 29, 1999
VOYA FINANCIAL PARTNERS, LLC
Primary Firm SEC Registration
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
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
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 290,648,483 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/26/2025 | ||
| 03/07/2024 | ||
| 04/17/2023 |
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.
