Lori A. Garcia

HAMILTON-BATES INVESTMENT RESEARCH

YORBA LINDA, CA

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CRD#: 6926190

Professional summary

Lori Ann Garcia, who also goes by Lori Noble, is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Yorba Linda, California.

Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Lori has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Noble

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.

LORI LEGALITY INC., NOT INVESTMENT RELATED, 135 S. STATE COLLEGE, SUITE 351, BREA, CA 92821; CONSULTANT; PRESDIENT SINCE 01/01/2017; 120 HOURS PER MONTH; ZERO HOURS DURING TRADING HOURS; DUTIES: CONSULT, ADMIN.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Garcia'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 16, 2018 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

YORBA LINDA, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(3/16/2018)

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.

Exams

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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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Lori A. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

State Registrations and Notice Filings

Exams

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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