Lori L. Smith
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 Lynn Barrows Smith, who also goes by Lori Barrows, Lori Horn, Lori Lynn Barrows Smith, Lori Lynn Smith, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2005. Lori had worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2023 - July 1, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 30, 2022 - May 4, 2023
LPL FINANCIAL LLC
December 18, 2019 - February 5, 2021
BB&T SECURITIES, LLC
December 17, 2019 - February 5, 2021
BB&T SECURITIES, LLC
April 1, 2019 - February 4, 2021
TRUIST ADVISORY SERVICES, INC.
March 18, 2019 - February 4, 2021
TRUIST INVESTMENT SERVICES, INC.
July 20, 2007 - October 5, 2018
FSC SECURITIES CORPORATION
May 1, 2006 - October 5, 2018
FSC SECURITIES CORPORATION
September 2, 2005 - October 31, 2005
PRUCO SECURITIES, LLC.
August 24, 2005 - October 31, 2005
PRUCO SECURITIES, LLC.
August 3, 2005 - September 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2005 - September 10, 2005
IDS LIFE INSURANCE COMPANY
July 13, 2005 - September 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
