Lori W. Matus
Professional summary
Lori Witherspoon Matus, who also goes by Lori Kay Matus, Lori Kay Witherspoon, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Witherspoon Matus's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2024 - Present
DAI SECURITIES, LLC
Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345October 25, 2019 - August 19, 2024
AVANTAX INVESTMENT SERVICES, INC.
June 6, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
November 12, 1999 - March 6, 2003
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/7/2024)
(9/4/2024)
Exams
FINRA
Current Firm
DAI SECURITIES, LLC
CRD#: 36673 / SEC#: , 8-47393
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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