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Lori Ann Rupe

Raymond James & Associates, Inc.

Louisville, KY

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2018-01-05
  • KY RA
    APPROVED
    Since 2018-01-05

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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
Wells Fargo Advisors Louisville KY 05/2013 11/2016
Wells Fargo Clearing Services, Llc Louisville KY 11/2016 01/2018
Raymond James & Associates Louisville KY 01/2018 Present
  • 05/2013 → 11/2016
    Wells Fargo Advisors
    Louisville, KY
  • 11/2016 → 01/2018
    Wells Fargo Clearing Services, Llc
    Louisville, KY
  • 01/2018 → Present
    Raymond James & Associates
    Louisville, KY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-23
S63 Uniform Securities Agent State Law Examination 1991-10-22
  • S66 Uniform Combined State Law Examination
    2011-11-23
  • S63 Uniform Securities Agent State Law Examination
    1991-10-22

View on SEC IAPD

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