Lori K. Maclaren
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 Koontz Maclaren, who also goes by Lori Ann Koontz, Lori K Maness, Lori Koontz Maness, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2006. Lori had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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, 2016 - September 19, 2018
TRUIST ADVISORY SERVICES, INC.
May 21, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
May 21, 2015 - September 19, 2018
TRUIST INVESTMENT SERVICES, INC.
January 6, 2014 - April 28, 2015
FIRST HORIZON ADVISORS, INC.
January 6, 2014 - April 28, 2015
FIRST HORIZON ADVISORS, INC.
June 12, 2012 - March 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2012 - March 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 9, 2009 - November 30, 2010
BB&T INVESTMENT SERVICES, INC.
January 28, 2009 - November 30, 2010
BB&T INVESTMENT SERVICES, INC.
July 17, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
March 9, 2006 - July 14, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
