Best Investors Account Sign in

Lori Cariffe Coombs

Cetera Investment Advisers LLC

Poughkeepsie, NY

Newburgh, NY

CRD 3074214

Claim This Profile
Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-12
  • NY RA
    APPROVED
    Since 2021-04-12

Branch Locations

2680 South Road, Poughkeepsie, NY 12601 • United States

1208 Route 300, Newburgh, NY 12550 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St.CLoud MN 08/2013 Present
Cetera Investment Advisers Llc Newburgh NY 03/2021 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-08-18
  • S63 Uniform Securities Agent State Law Examination
    1998-08-18
Other Names
  • Lori Cariffe

View on SEC IAPD

Nearby Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARAX ADVISORY PARTNERS
CHARLES SCHWAB & CO., INC.

Nearby Investors

MARK STEVEN BURLINGAME
ALLISON ELISABETH CULLEY
MICHELLE LOUISE NOLEN

Nearby Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · POUGHKEEPSIE, NY
ARAX ADVISORY PARTNERS · Poughkeepsie, NY
CHARLES SCHWAB & CO., INC. · Poughkeepsie, NY

More in Poughkeepsie, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor