LD
Lori D. Dugger
U.S. BANCORP INVESTMENTS
Osage Beach, MO 65065
Some features on this profile are disabled
CRD#: 3085015
LD
Professional summary
Lori D Dugger, who also goes by Lori Dawn Haile, Lori Haile, Lori Dawn Holland, Lori Holland, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Osage Beach, Missouri.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Lori has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Dawn Haile | Lori Haile | Lori Dawn Holland | Lori Holland
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) Name: Midwest Small Business Finance Inv Rel: Y Add: 7001 N Locust, Gladstone, MO 64118 Nature: Facilitates loan options for small businesses to grow and expand Position: Board Member/Secretary Start Date: 01/01/2024 No Hrs/Mo: .30 No/Hrs Mo dur trading: .30 Describe Duties: Attend quarterly meetings and contribute to council via review and committee approval of loan requests (loan programs include SBA, 504, RRLF and ILP programs). Represent board within complimentary organization, Clay County Economic Development Council. (2) Name: Clay County Economic Development Council Inv Rel: Y Add: 7001 N Locust, Gladstone, MO 64118 Nature: Non-profit created to maximize economic opportunity in the count of Clay County MO Position: Affiliate Representative/Board Member Start Date: 01/01/2024 No Hrs/Mo: 2 No/Hrs Mo dur trading: 1 Describe Duties: Attend monthly meetings and contribute to council via committee volunteer commitments, all with an effort to encourage and foster growth through commerce and community engagement. Report mutual initiatives via Midwest Small Business Finance board.
CRS (Client Relationship Summary) - RIA
Click below to view Lori D Dugger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori D Dugger'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®
NoneExperience
Current
March 4, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 4056 Hwy 54, Osage Beach, MO 65065Office #2: 1408 Forum Blvd, Columbia, MO 65203Office #3: 2102 W Broadway Blvd, Sedalia, MO 65301Office #4: 615 N Maguire St, Warrensburg, MO 64093Office #5: 2202 N Baltimore, Kirksville, MO 63501Office #6: 1608 N Rutherford St, Macon, MO 63552Office #7: 1076 E Us Hwy 54, Camdenton, MO 65020Office #8: 101 W Mccarty St, Jefferson City, MO 65101Office #9: 201 N Jefferson Ave, Lebanon, MO 65536Office #10: 507 Business Loop 70w, Columbia, MO 65203RIA
BD
CRD#: 17868
Osage Beach, MO
Current
March 4, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 4056 Hwy 54, Osage Beach, MO 65065Office #2: 1408 Forum Blvd, Columbia, MO 65203Office #3: 2102 W Broadway Blvd, Sedalia, MO 65301Office #4: 615 N Maguire St, Warrensburg, MO 64093Office #5: 2202 N Baltimore, Kirksville, MO 63501Office #6: 1608 N Rutherford St, Macon, MO 63552Office #7: 1076 E Us Hwy 54, Camdenton, MO 65020Office #8: 101 W Mccarty St, Jefferson City, MO 65101Office #9: 201 N Jefferson Ave, Lebanon, MO 65536Office #10: 507 Business Loop 70w, Columbia, MO 65203RIA
BD
CRD#: 17868
Osage Beach, MO
Past
November 9, 2020 - March 5, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Kansas City, MO
Past
November 6, 2020 - March 5, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Kansas City, MO
Past
February 6, 2019 - September 30, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
KANSAS CITY, MO
Past
February 6, 2019 - September 30, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
KANSAS CITY, MO
Past
March 31, 2017 - January 23, 2019
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
Overland Park, KS
Past
October 6, 2016 - February 14, 2017
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
OVERLAND PARK, KS
Past
June 14, 2013 - July 12, 2016
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
KANSAS CITY, MO
Past
June 13, 2013 - July 12, 2016
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
KANSAS CITY, MO
Past
January 28, 2011 - June 14, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
KANSAS CITY, MO
Past
June 9, 2006 - January 21, 2010
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
KANSAS CITY, MO
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Colorado(3/4/2024)
RR
District of Columbia(3/4/2024)
RR
Florida(3/4/2024)
RR
Georgia(3/4/2024)
RR
Idaho(3/4/2024)
RR
Kansas(3/4/2024)
RR
Missouri(3/4/2024)
IAR
Missouri(3/4/2024)
RR
Oklahoma(3/4/2024)
RR
Tennessee(2/19/2025)
RR
Washington(3/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Osage Beach, MO 65065TRUST BUT VERIFY
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