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Lori Cariffe Coombs

Cetera Investment Advisers LLC

Poughkeepsie, NY

Newburgh, NY

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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

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · POUGHKEEPSIE, NY
ARAX ADVISORY PARTNERS · Poughkeepsie, NY
CHARLES SCHWAB & CO., INC. · Poughkeepsie, NY
LPL FINANCIAL LLC · POUGHKEEPSIE, NY
MORGAN STANLEY · POUGHKEEPSIE, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · POUGHKEEPSIE, NY
NEWEDGE ADVISORS · Poughkeepsie, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · POUGHKEEPSIE, NY

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