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Detailed Report
TROY LORENZ OTT
CRD#: 4138222
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 947 O ST, STE. 101
LINCOLN, NE 68508
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2017 - 2022 (5 years)2 FIRMS2022 - Present (2 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2011 - 2017 (5 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2011 - 2011 (<1 year)BBANCWEST INVESTMENT SERVICES, INC. (CRD# 29357)2009 - 2011 (1 year)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2007 - 2009 (2 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2001 - 2007 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2016 - 2017 (1 year)
License(s)

State Registrations

B
Colorado 8/10/2022
B
New Mexico 9/9/2023
B
Kansas 8/10/2022
IA
Texas 8/10/2022
B
Nebraska 7/21/2022
B
Texas 11/18/2022
IA
Nebraska 8/1/2022
B
Wisconsin 8/10/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
947 O ST, STE. 101, LINCOLN, NE 68508
Registered with this firm since 8/1/2022
B
LPL FINANCIAL LLC (CRD#:6413)
947 O ST, STE. 101, LINCOLN, NE 68508
Registered with this firm since 7/21/2022
Previous Registration(s)
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IA
 06/19/2017 - 07/26/2022 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Lincoln, NE
B
 06/14/2017 - 07/26/2022 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) LINCOLN, NE
IA
 04/27/2016 - 06/13/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) LINCOLN, NE
B
 07/19/2011 - 06/13/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) LINCOLN, NE
B
 05/26/2011 - 07/22/2011 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
B
 10/16/2009 - 05/11/2011 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) LINCOLN, NE
B
 04/20/2007 - 08/27/2009 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) LINCOLN, NE
B
 05/01/2001 - 04/16/2007 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) BEATRICE, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.