Lori
Ulm

Cetera Advisors LLC

CRD#2068511
Investment Advisor
in Plymouth, MA

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About this Advisor

Lori Ulm is a certified financial planner who works out of Plymouth, Massachusetts with a total of 19 years of industry experience. Ulm is on the advisory team at Cetera Advisors LLC. They have been employed by Cetera Advisors Llc for their whole career. Ulm has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to advise clients in Massachusetts and Texas. Cetera Advisors LLC is a firm based in Englewood, CO. The investment advisory business has offices in 692 locations and a total of 1,047 financial advisors. It handles $21 billion in total assets between its 90,646 customer accounts, placing it among the largest financial advisory firms in the nation by assets under management. The firm advises 294 charitable organizations. Of its 90,646 accounts, 26% belong to high-net-worth investors who have more than $1 million in assets. Cetera Advisors LLC provides a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. Fees for financial advice usually vary depending on which services the firm provides the client. Fees billed by Cetera Advisors LLC likely are comprised of any blend of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, CERTIFIED FINANCIAL PLANNER™

Years Registered*

19 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Office Location

34 Main Street Extension Ste 201
Plymouth, MA 02360

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Cetera Advisors LLC Brokerage Details

Total Assets Under Management

$21,227,977,082

MA Average: $2,349,664,866
Total Number of Employees

1,047

MA Average: 28
Total Number of Accounts

90,646

MA Average: 1,101
Average Account Size

$234,185

MA Average: $2,134,119

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Lori Ulm Work History

Lori has been registered as a financial advisor for 19 years.*

2013 - Present (11 years)

Cetera Advisors LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Lori Ulm to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Cetera Advisors LLC

Daniel Fundingsland
Baxter, MN
William Wilde
Paradise Valley, AZ
Elyse Jurman
Boca Raton, FL
William Lucas
Missoula, MT
Iain Reilly
San Diego, CA
Katie-Lee Kallin
Westborough, MA
John Peyton
Lake Oswego, OR
Randy Roesler
Franklin, WI

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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