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LORI WOOD TIETJEN
LORI ANN WOOD, LORI WOOD WOOD TIETJEN, LORI WOOD TIETJEN
CRD#: 2155486
IA
B
WELLS FARGO ADVISORSCRD#: 19616 6423 MONTGOMERY ST STE 10
2ND FL
RHINEBECK, NY 12572
2ND FL
RHINEBECK, NY 12572
0
Disclosures
33
Years of Experience
View By:
State Registrations
B
Arizona 4/29/2014
B
New Hampshire 9/13/2022
B
California 4/29/2014
B
New Jersey 4/29/2014
B
Colorado 9/8/2022
B
New Mexico 7/1/2016
B
Connecticut 4/29/2014
B
New York 4/29/2014
B
Delaware 9/27/2018
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New York 7/27/2021
B
District of Columbia 7/1/2016
B
North Carolina 4/29/2014
B
Florida 4/29/2014
B
Ohio 4/29/2014
B
Georgia 4/29/2014
B
Pennsylvania 4/29/2014
B
Illinois 2/2/2023
B
South Carolina 7/1/2016
B
Iowa 3/9/2021
B
Tennessee 4/29/2014
B
Kentucky 4/29/2014
B
Texas 4/29/2014
B
Maine 7/1/2016
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Texas 7/14/2014
B
Maryland 6/24/2016
B
Vermont 11/7/2024
B
Massachusetts 4/29/2014
B
Virginia 4/29/2014
B
Michigan 7/1/2016
B
Wisconsin 6/8/2023
B
Nebraska 7/1/2016
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/14/2014
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Registered with this firm since 4/29/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 05/07/2014 | POUGHKEEPSIE, NY | |
B | 03/20/1996 - 06/01/2009 | POUGHKEEPSIE, NY | |
B | 11/14/1994 - 03/19/1996 | BEDMINSTER, NJ | |
B | 07/03/1991 - 10/31/1994 | MINNEAPOLIS, MN | |
B | 07/03/1991 - 10/31/1994 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.