Lori Witherspoon Matus
Professional Summary
Lori Witherspoon Matus, who also goes by Lori Kay Matus, Lori Kay Witherspoon, is a registered financial advisor currently at DAI SECURITIES, LLC located in Atlanta, Georgia. Lori is registered as a RR (Registered Representative) and started their career in finance in 1999. Lori has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lori Kay Matus, Lori Kay Witherspoon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.
Contact Information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Phone Number
(404) 531-7080Established
Minnesota since 05/31/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/7/2024)
(9/4/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1999About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2002About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Lori Witherspoon Matus's CRS (Customer Relationship Summary).
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