Lori M. Marcotte
Professional summary
Lori Marie Marcotte was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lori is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Lori had worked at 1 firm, which includes CAPITAL ONE INVESTMENTS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2000 - June 19, 2001
CAPITAL ONE INVESTMENTS, 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
Exams
Current Firm
CAPITAL ONE INVESTMENTS, LLC
CRD#: 17526 / SEC#: , 8-35386
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE, N.A. | SOLE SHARE OWNER | |
| BARNES, DONALD JOSEPH II | MEMBER OF MANAGEMENT COMMITTEE | |
| COOPER, KEYAN MARIE | SROP/CROP | 4268042 |
| DEBLANC, RONALD JOSEPH | VP, CHIEF FINANCIAL OFFICER | 1672968 |
| DELO, DANIEL MARK | MUNICIPAL SECURITIES PRINCIPAL | 2242301 |
| EMIG, JANET CLARE | BROKERAGE OPERATIONS MANAGER | 4702727 |
| GOLDBERG, KENNETH L. | MEMBER OF MANAGEMENT COMMITTEE | 4053655 |
| LABENNE, ANDREW DENNIS | MEMBER OF MANAGEMENT COMMITTEE | 5460014 |
| LEE, DONALD PAUL | MEMBER OF MANAGEMENT COMMITTEE | 1174842 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER | 1182101 |
| TALBOT, MICHAEL MERRITT | MEMBER OF MANAGEMENT COMMITTEE/PRESIDENT & CEO | 1296293 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
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