Lora Leavenworth
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.
Lora Leavenworth, who also goes by Lora Lynn Leavenworth, Lora Leavenworth, was a registered financial professional .
Lora is a previously registered financial professional and started their career in finance in 2002. Lora had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 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
September 12, 2023 - March 12, 2026
FISHER INVESTMENTS
December 22, 2022 - August 29, 2023
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
November 5, 2022 - September 11, 2023
LPL FINANCIAL LLC
August 13, 2021 - July 13, 2022
FISHER INVESTMENTS
May 23, 2013 - September 14, 2021
TIETON CAPITAL MANAGEMENT
February 25, 2004 - December 5, 2012
CAPSTONE WEALTH MANAGEMENT GROUP, LLC
May 20, 2002 - May 15, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 7TO
Date: 11/5/2022
General Securities Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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