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LS

Lorie R. Schappert

Some features on this profile are disabled
CRD#: 5250943
LS

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.

Lorie R Schappert was a registered financial professional .

Lorie is a previously registered financial professional and started their career in finance in 2006. Lorie had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) DPOA FOR MY SON - MY HOME ADDRESS; MY SON'S ADDRESS - DPOA - DURABLE FINANCIAL POWER OF ATTORNEY FOR MY SON - 9/2012 - 0 HR/MO/TRD HRS - HELP MY SON FACILITATE ANY NECESSARY FINANCIAL SITUATIONS INCLUDING BANKING AND HIS APPLICATION FOR SSI - NON-INVESTMENT RELATED 2) SUNNYSIDE 63 - 15 UNCAS DR, AMSTON, CT 06231; NIR; 12/2012 START DATE; USING AS A SECOND HOME AS WELL AS RESIDENCE FOR MY SON; LLC; 1 HR SPENT DURING TRADING; 3) DPOA AND MEDICAL POA FOR Mother - Mother's address - 09/2015 START DATE - NIR - DPOA for mother - take care of financial needs in the event she is incapacitated - OTHER BUSINESS TYPE - 0 HR/MO

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2018 - January 3, 2019

SSN ADVISORY, INC.

RIA
CRD#: 126090
Glastonbury, CT
Past

January 3, 2008 - December 31, 2023

ADVICEONE ADVISORY SERVICES, LLC

RIA
CRD#: 111614
GLASTONBURY, CT
Past

November 20, 2006 - December 5, 2019

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
GLASTONBURY, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/1/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/17/2006
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SSN ADVISORY, INC.
SSN ADVISORY, INC. | SSNAI

CRD#: 126090 / SEC#: 801-61989

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Contact information

Main Address
9729 Cogdill Road Suite 301, Knoxville, TN 37932
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ENCOMPASS SMA WRAP FEE PROGRAM BROCHURE (8/14/2020)
SSNAI ADV PART 2A (8/14/2020)

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.

Company Information

SSN ADVISORY, INC.

CRD#: 126090

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