Lori Patricia Sherman
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Lori Patricia Sherman is an investment adviser representative with Cetera Investment Advisers LLC in Whittier, CA, where they have been registered since 2025. They have worked in the securities industry since 2006 and have been registered with 4 firms, including Thrivent Advisor Network, LLC and Cetera Advisor Networks LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 6 (investment company and variable products). They are registered to provide investment advice in California.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Cetera Advisor NetworksFeb 2015 – Oct 2017El Segundo, CA
- Erman Retirement AdvisoryJan 2015 – Oct 2017Seal Beach, CA
- UnemployedOct 2017 – Jun 2019Brea, CA
- Cetera Advisor NetworksJun 2019 – Aug 2021El Segundo, CA
- Quantum EconometricsFeb 2019 – Aug 2021Whittier, CA
- Thrivent Advisor Network, LLCAug 2021 – Jun 2023Brea, CA
- Purshe Kaplan Sterling InvestmentsJul 2022 – Jul 2023Albany, NY
- Kitces.comNov 2023 – no end date reportedReston, VA
- UnemployedJul 2023 – Nov 2023Brea, CA
- HERB MessickMay 2025 – no end date reportedWhittier, CA
- Cetera Wealth Services, LLCMay 2025 – no end date reportedEl Segundo, CA
- Cetera Investment Advisers LLCMay 2025 – no end date reportedSchaumburg, IL
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lori Patricia Sherman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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