Lori A. Lassiter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lori Ann Lassiter was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2005. Lori had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - January 4, 2017
CASCADE FINANCIAL MANAGEMENT, INC.
August 10, 2015 - January 4, 2017
CASCADE FINANCIAL MANAGEMENT, INC.
November 18, 2009 - July 15, 2014
U.S. BANCORP INVESTMENTS, INC.
April 25, 2005 - July 15, 2014
U.S. BANCORP INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CASCADE FINANCIAL MANAGEMENT, INC.
CRD#: 119030 / SEC#: 801-64346, 8-53730
Contact information
FINRA licenses (1 States and Territories)
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.
