Terri Lors

CETERA INVESTMENT ADVISERS LLC

CELVELAND, OH 44105

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CRD#: 3141205

Professional summary

Terri Lors, who also goes by Theresa Batton, Theresa B Lors, Theresa Lors, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Celveland, Ohio and CETERA INVESTMENT SERVICES LLC located in Cleveland, Ohio.

Terri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Terri has worked at 6 firms and has passed the SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theresa Batton | Theresa B Lors | Theresa Lors

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.THIRDFED INSURANCE LLC. OFFICER. ENTITY FOR THE PURPOSE OF HOLDING INSURANCE LICENSES FOR BOARD OF DIRECTORS. 2.CHAIR PERSON OF TFIA COMPLIANCE COMMITTEE; SUPPLY REPORTS AND LEAD QUARTERLY MEETING; 1 HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terri Lors's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 7007 Broadway Ave, Celveland, OH 44105

RIA

CRD#: 105644

CELVELAND, OH

Current

January 2, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 7007 Broadway Ave, Cleveland, OH 44105

CRD#: 15340

Cleveland, OH

Past

November 2, 2011 - December 31, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

CLEARWATER, FL

Past

November 16, 2004 - December 31, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CLEVELAND, OH

Past

November 12, 2004 - November 4, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CLEVELAND, OH

Past

July 18, 2000 - November 17, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

CLEVELAND, OH

Past

June 29, 2000 - November 17, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 4, 1998 - June 28, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(7/19/2024)

Ohio
(1/2/2018)

IAR

Ohio
(1/2/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/3/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Terri Lors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terri Lors's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2001

Series 6

Date: 11/3/1998

Series 24

Date: 4/13/2016

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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