Lori Ann Dummann

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2011 → 04/2018
  Morgan Stanley Smith Barney
  Englewood, CO
• 04/2018 → Present
  Wells Fargo Clearing Services Llc
  Cherry Creek, CO

Previous Registrations

• 2011-12-02 → 2018-04-16
  Morgan Stanley
  Greenwood Village, CO
  Greenwood Village, CO

Other Businesses

POWER OF ATTORNEY FOR MOTHER; INV. RELATED; DENVER, CO; START DATE 6/17/2024; 1 HOUR PER MONTH. NORWEX USA ; NOT INV RELATED; COPPELL,TX; CONSULTANT; START DATE: 01/23/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S66 Uniform Combined State Law Examination
  2015-10-30
• S63 Uniform Securities Agent State Law Examination
  2000-11-03