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Lori Ann Earley

ZIV Investment Co.

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About Lori Ann Earley

Lori Ann Earley is a registered investment advisor representative with Ziv Investment Co. based in Wilmington, Delaware. Lori has been in the industry since 1987 and has a broad range of experience, holding registrations in numerous states. Lori focuses on providing investment advice and portfolio management services for individuals. Lori is also a registered principal and has a Series 7, 10 and 9 license.

Firm Information

Lori Earley is currently registered with ZIV Investment Co.. ZIV Investment Co., a corporation formed in October 1969, is an investment advisor registered with the SEC and in 26 states. The firm provides portfolio management services for individuals. They manage approximately $22.9 million in regulatory assets under management for 12 accounts. ZIV Investment Co. has a website at HTTP://WWW.ZIVINVESTMENT.COM.

$22.92M

Assets Under Management

8

Total Clients

5

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Lori Earley’s Registration & Firm History

DE

11/03/2017 - Present

ZIV Investment Co. (Wilmington DE)

DE

07/01/2003 - 07/28/2009

WELLS FARGO ADVISORS, LLC (GREENVILLE DE)

NY

10/06/2000 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

PA

03/02/1990 - 10/26/2000

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

NY

04/11/1988 - 03/17/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

05/21/1987 - 04/11/1988

E. F. HUTTON & COMPANY INC

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Licenses & Designations

IA

Issued 03/03/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/14/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/26/1988

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lori Ann Earley.
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