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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2020-12-04
  • IN RA
    APPROVED
    Since 2020-12-04

Branch Locations

408 E Line St, Geneva, IN 46740 • 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
First Bank Of Berne Berne IN 05/2010 11/2020
Cetera Investment Services Llc St. Cloud MN 05/2010 11/2020
Cetera Investment Advisers Llc Berne IN 01/2014 11/2020
Raymond James Financial Services, Inc. Geneva IN 12/2020 Present
Farmer's & Merchants State Bank Geneva IN 12/2020 Present
  • 05/2010 → 11/2020
    First Bank Of Berne
    Berne, IN
  • 05/2010 → 11/2020
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → 11/2020
    Berne, IN
  • 12/2020 → Present
    Raymond James Financial Services, Inc.
    Geneva, IN
  • 12/2020 → Present
    Farmer's & Merchants State Bank
    Geneva, IN
Previous Registrations
  • 2014-01-21 → 2020-11-19
    Decatur, IN
    Berne, IN
  • 2010-05-20 → 2014-01-21
    Cetera Investment Services Llc
    Berne, IN
    Decatur, IN
    Van Wert, OH
    Bluffton, IN
    Berne, IN
    Portland, IN
    Berne, IN
    Berne, IN
Other Businesses

(1)Name of Business: FM Investments Address: 408 E Line St, Geneva, IN, 46740, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 11/30/2020 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: I am a Financial Advisor employed by F&M Bank and FM Investments

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-01-29
S63 Uniform Securities Agent State Law Examination 2007-10-29
  • S65 Uniform Investment Adviser Law Examination
    2010-01-29
  • S63 Uniform Securities Agent State Law Examination
    2007-10-29
Other Names
  • Lorie Ann Garwood
  • Lorie Ann Garwood
  • Lorie Ann Matthews

View on SEC IAPD

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