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Detailed Report
Lori Jean Barry
LORI J WESTER, LORI JEAN WESTER
CRD#: 5771498
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1200 SEXTONVILLE RD
RICHLAND CENTER, WI 53581-0392
Registration History
2010201220142016201820202022202420262 FIRMS2015 - 2018 (3 years)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - Present (4 years)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2010 - 2015 (5 years)
Disclosure(s)
View By:
3/27/2024
Customer Dispute
Denied
License(s)

State Registrations

B
Arkansas 3/29/2023
B
Oklahoma 7/22/2022
B
Florida 2/24/2022
B
Texas 1/7/2022
B
Illinois 9/21/2020
B
Virginia 12/6/2022
B
Iowa 9/21/2020
B
Wisconsin 9/21/2020
B
Minnesota 12/6/2022
IA
Wisconsin 9/21/2020

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)
B
LPL FINANCIAL LLC (CRD#:6413)
1200 SEXTONVILLE RD, RICHLAND CENTER, WI 53581-0392
375 LINCOLN AVE, FENNIMORE, WI 53809
Registered with this firm since 9/21/2020
IA
LPL FINANCIAL LLC (CRD#:6413)
1200 SEXTONVILLE RD, RICHLAND CENTER, WI 53581-0392
375 LINCOLN AVE, FENNIMORE, WI 53809
Registered with this firm since 9/21/2020
Previous Registration(s)
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IA
 07/03/2018 - 09/23/2020 AMERIPRISE FINANCIAL SERVICES, LLC. (CRD#:6363) Platteville, WI
B
 07/03/2018 - 09/23/2020 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Platteville, WI
IA
 10/30/2015 - 09/24/2018 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) PLATTEVILLE, WI
B
 07/08/2015 - 09/24/2018 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) PLATTEVILLE, WI
B
 06/15/2010 - 07/13/2015 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) FENNIMORE, WI
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.