Lori L. Nutter
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 Nutter was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2008. Lori had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - November 30, 2017
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 23, 2017 - November 30, 2017
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
October 17, 2014 - April 13, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 17, 2014 - April 13, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 10, 2013 - October 17, 2014
KEY INVESTMENT SERVICES LLC
July 10, 2013 - October 17, 2014
KEY INVESTMENT SERVICES LLC
March 2, 2011 - February 11, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 2, 2011 - February 11, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 3, 2011 - March 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 26, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 26, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 10, 2009 - April 26, 2010
COUNTRY CAPITAL MANAGEMENT COMPANY
December 10, 2008 - July 6, 2009
WELLS FARGO INVESTMENTS, LLC
November 24, 2008 - July 6, 2009
WELLS FARGO INVESTMENTS, LLC
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
