Individual Firm
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LORI JEAN ELLINGSON
LORI JEAN HUTTON
CRD#: 2644949
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 NEWPORT, OR
CETERA ADVISOR NETWORKS LLCCRD#: 13572 Newport, OR
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Arizona 4/2/2025
B
Oregon 8/24/2021
B
California 9/28/2021
IA
Oregon 6/29/2023
B
Georgia 9/28/2021
B
Virginia 9/28/2021
B
Iowa 8/6/2024
B
Washington 9/28/2021
B
Nevada 9/28/2021
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/24/2021 - 06/29/2023 | NEWPORT, OR | |
IA | 01/10/2019 - 08/24/2021 | Newport, OR | |
B | 01/09/2019 - 08/24/2021 | LAKE OSWEGO, OR | |
IA | 10/23/2020 - 08/05/2021 | LAKE OSWEGO, OR | |
IA | 11/16/2009 - 12/31/2018 | LAKE OSWEGO, OR | |
B | 11/09/2009 - 12/31/2018 | LAKE OSWEGO, OR | |
IA | 09/19/2006 - 11/12/2009 | SAN JOSE, CA | |
B | 04/12/2002 - 11/12/2009 | SAN JOSE, CA | |
IA | 03/09/2004 - 09/05/2006 | SAN JOSE, CA | |
IA | 08/23/2002 - 12/31/2003 | SAN JOSE, CA | |
IA | 01/01/1999 - 07/15/2002 | DULUTH , GA | |
B | 10/25/1995 - 04/12/2002 | DULUTH, GA |
SAN JOSE, CA
09/19/2006 - 11/12/2009
DULUTH , GA
01/01/1999 - 07/15/2002
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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.
IA
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.