Lorinda B. Spivey
CETERA INVESTMENT ADVISERS LLC
CARY, NC 27513
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CRD#: 2862604
Professional summary
Lorinda Bolz Spivey, CFP®, who also goes by Lore Lomas, Lori Lomas, Lorinda B Spivey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cary, North Carolina and CETERA ADVISORS LLC located in Cary, North Carolina.
Lorinda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Lorinda has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lore Lomas | Lori Lomas | Lorinda B Spivey
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.)FINANCIAL DIRECTIONS GROUP, INC; DBA, START DATE:9/24/2008. 2.) LORINDA SPIVEY-INSURANCE;INSURANCE BROKER; INSURANCE; START DATE 06/10/2011; 4 HOURS PER MONTH. 3.) Pureflow Advisory Committee; Committee Member; Consulting; Start date 10/30/2015; 20 hours per month. 4.) Financial Directions Group, Inc.; Owner; Insurance (Fixed/Life/Health/P&C); start date 08/15/2016; 20 hours per month. 5.) ASSURED PARTNERS OF NORTH CAROLINA, INC.; INSURANCE; CONTRACTOR; START DATE: 07/02/2018; 80 HOURS A MONTH. 6.) NAME OF OTHER BUSINESS: IMAF-RTP, INVESTMENT RELATED: NO, ADDRESS: 100 GREEN HAVEN BLVD, YOUNGSVILLE, NY, 27596, NATURE OF BUSINESS: SEED INVESTMENT FUND, START DATE: 04/2023, POSITION/TITLE/RELATIONSHIP: BACK-UP CO ADMINISTRATOR, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MANAGE BOOKKEEPING AND FINANCIAL REPORTING, SUBMIT YEAR-END FINANCIAL REPORTING, MANAGE PROCESS OF ACCEPTING RETURNS, AND DISTRIBUTIONS, MAINTAIN INVESTMENT CONTACT INFORMATION; 7.) NAME OF OTHER BUSINESS: NCER INVESTMENT RELATED: NO, ADDRESS: 2000 AERIAL CENTER PKWY, STE 112, MORRISVILLE, NC 27560, NATURE OF BUSINESS: NON-PROFIT, START DATE: 09/2023, POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER, LESS THAN ON HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REVIEW OF ANNUAL BUDGET;
CRS (Client Relationship Summary) - RIA
Click below to view Lorinda Bolz Spivey's 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®
CFP®
Start date: 1995
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5001 Weston Parkway Suite 200, Cary, NC 27513RIA
CRD#: 105644
CARY, NC
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 5001 Weston Parkway Suite 200, Cary, NC 27513BD
CRD#: 10299
Cary, NC
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
Cary, NC
Past
December 1, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
CARY, NC
Past
December 1, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CARY, NC
Past
December 31, 2001 - December 5, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CARY, NC
Past
May 28, 1997 - December 5, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CARY, NC
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Indiana(10/31/2024)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
RR
New York(9/8/2022)
IAR
North Carolina(11/12/2020)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oklahoma(8/10/2023)
RR
South Carolina(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cary, NC 27513TRUST BUT VERIFY
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