Lori P. Sherman

CETERA INVESTMENT ADVISERS LLC

WHITTIER, CA 90603

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CRD#: 4634121

Professional summary

Lori Patricia Sherman, who also goes by Lori Patricia Sherman, Lori Patricia Smiley, Lori P Sherman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Whittier, California and CETERA WEALTH SERVICES, LLC located in Whittier, California.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lori has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Patricia Sherman | Lori Patricia Smiley | Lori P Sherman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: KITCES.COM; INVESTMENT RELATED: NO; ADDRESS: RESTON, VA 20190; NATURE OF BUSINESS: FINANCIAL SERVICES EDUCATION; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: SENIOR EVENTS SPECIALIST; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: RUN INTERNAL IN PERSONAL RETREATS FOR THE COMPANY AND PRODUCE VIRTUAL CONTENT; 2. NAME OF OTHER BUSINESS: HERB MESSICK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING FOR THE WHITTIER BRANCH OF CETERA; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: MARKETING ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: SUPPORTING CETERA REPS WITHIN WHITTIER OFFICE, MARKETING, ADMINISTRATIVE, WEBSITE MONITORING, ETC.;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Patricia Sherman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 28, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15141 E Whittier Blvd Ste 550, Whittier, CA 90603

RIA

CRD#: 105644

WHITTIER, CA

Current

May 28, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 15141 E Whittier Blvd Ste 550, Whittier, CA 90603

CRD#: 13572

Whittier, CA

Past

August 24, 2022 - July 19, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

August 23, 2021 - July 14, 2023

THRIVENT ADVISOR NETWORK, LLC

RIA

CRD#: 304569

Brea, CA

Past

July 1, 2019 - August 30, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WHITTIER, CA

Past

June 27, 2019 - August 30, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WHITTIER, CA

Past

January 27, 2017 - July 10, 2019

ERMAN RETIREMENT ADVISORY

RIA

CRD#: 113903

Seal Beach, CA

Past

February 26, 2015 - October 6, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SEAL BEACH, CA

Past

February 23, 2015 - October 6, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SEAL BEACH, CA

Past

April 8, 2009 - April 16, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

March 20, 2007 - April 16, 2013

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 6, 2005 - August 3, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EL SEGUNDO, CA

Past

April 6, 2005 - April 16, 2013

CETERA ADVISORS LLC

CRD#: 10299

EL SEGUNDO, CA

Past

April 6, 2005 - April 16, 2013

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 12, 2003 - March 10, 2005

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/28/2025)

IAR

California
(5/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/10/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Lori P. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Patricia Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

THRIVENT ADVISOR NETWORK, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

ERMAN RETIREMENT ADVISORY

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2005

SIE

Date: 10/6/2017

Series 7

Date: 10/2/2006

Series 6

Date: 3/10/2003

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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