Lori Lynne Rothenberger
Investment adviser representative at Spc
12 yearsExperience
1 stateRegistered in
$6.1BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- SpcAug 2025 to now
- Parkland Securities, LLCAug 2025 to now
- Sigma Planning CorpAug 2025 to now
- Ascend Financial, Inc.Jul 2024 to now
- Just Wealth Management, LLCMay 2025 to Aug 2025
- Variable Investment Associates, Inc.Jul 2024 to Aug 2025
- Unemployed Stay At Home Grand MotherAug 2022 to Jun 2024
- N/aSep 2016 to Jun 2017
- Raymond James Financial Services Advisors Inc.Feb 2013 to Oct 2022
- Raymond James Financial Services, Inc.Feb 2013 to Oct 2022
Exams passed
- Series 66 · Uniform Combined State Law2010
State registrations
Registered as an investment adviser representative in 1 state (SD).
Spc
Legal name: Sigma Planning Corporation
$6.1BAssets managed
30,916Clients
474Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5446904
- Firm CRD
- 110692