Lori Forthmann
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 Forthmann, who also goes by Lori M Forthmann, Lori Mcgovern Forthmann, Lori Marie Mcgovern, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2001. Lori had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2012 - February 27, 2023
TRUE CAPITAL MANAGEMENT
November 9, 2011 - September 12, 2012
WESTMOUNT PARTNERS, LLC
June 3, 2009 - December 5, 2011
WESTMOUNT ASSET MANAGEMENT INC
February 7, 2008 - August 22, 2011
FORTHMANN JR. ANDREW KEATING
June 8, 2006 - January 24, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 19, 2001 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2001 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TRUE CAPITAL MANAGEMENT
CRD#: 142962 / SEC#: 801-67503
Contact information
Regulatory assets under management
| Total Number of Accounts | 431 |
| AUM (Assets Under Management) | $ 1,593,766,022 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2023 |
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.
