Lori Ulm
Lori Ulm is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Plymouth, MA, with 35 years of industry experience. Lori operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
34 Main Street Extension Ste 201, Plymouth, MA, 02360
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Lori engages in several business activities. She offers divorce planning services, operates Prosperity Financial Planning (a DBA for securities and fixed insurance sales), and works as an estate settlement contractor, helping liquidate unwanted estate items.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Vestax Securities Corporation
Vestax Securities CorporationBroker
Sii Investments, INC.Broker
Fidelity Equity Services CorporationBroker
Mariner Financial Services, INC.Broker
Fidelity Equity Services CorporationBroker
State Registrations15 states
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