Lori D. Gibson
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 Dawn Gibson was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2017. Lori had worked at 2 firms and has passed the SIE, Series 79, Series 28 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
July 24, 2017 - April 13, 2018
EKS&H CAPITAL ADVISORS, LLC
March 9, 2017 - August 15, 2017
DCF, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 28
Date: 6/26/2017
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
EKS&H CAPITAL ADVISORS, LLC
CRD#: 286068 / SEC#: , 8-69870
Contact information
Documents
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.
