Lori L. Williams

ASCENSUS INVESTMENT ADVISORS

Franklin, TN 37067

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CRD#: 5042157

Professional summary

Lori Lee Williams, who also goes by Lori Lee Reed, Lori Reed Williams, Lori Lee Williams, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Franklin, Tennessee and ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Lori has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Lee Reed | Lori Reed Williams | Lori Lee Williams

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.

Applicant is employed with the firm's parent company, Ascensus Group, LLC. In addition to her association with the member firm, she is also associated with FuturePlan by Ascensus, a network of retirement plan administrators and represents the full time execution of her Ascensus job responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Lee Williams's 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

March 2, 2021 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

Office #1: 113 Seaboard Lane Suite B 150, Franklin, TN 37067

RIA

CRD#: 120632

Franklin, TN

Current

February 11, 2021 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025

CRD#: 36478

Dresher, PA

Past

March 7, 2011 - December 2, 2019

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

BRENTWOOD, TN

Past

March 7, 2011 - December 2, 2019

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 2, 2008 - February 15, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BRENTWOOD, TN

Past

October 2, 2008 - February 15, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BRENTWOOD, TN

Past

May 3, 2006 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BRENTWOOD, TN

Past

November 15, 2005 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BRENTWOOD, TN

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".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 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

IAR

Massachusetts
(3/2/2021)

Tennessee
(2/11/2021)

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: 3/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	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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Firm Stability Insights

Lori L. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Lee Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2005

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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