Lori D. Gillem
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 Diane Gillem, who also goes by Lori Diane Bode, Lori Diane Sole, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2007. Lori had worked at 4 firms and has passed the Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2015 - November 22, 2019
MORTON WEALTH
June 8, 2015 - September 29, 2015
LUCIA CAPITAL GROUP
June 1, 2015 - September 29, 2015
LUCIA SECURITIES, LLC
February 28, 2007 - November 18, 2014
WEST COAST ASSET MANAGEMENT,INC.
Primary Firm SEC Registration
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
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
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,622 |
| AUM (Assets Under Management) | $ 2,956,328,474 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 06/21/2023 | ||
| 02/14/2023 | ||
| 11/28/2022 |
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.
