Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Riffle is a financial advisor registered with Stifel, Nicolaus & Company, Inc. Lori has been in the industry since 1995. Lori is also registered with Morgan Stanley. Lori provides financial planning, portfolio management for individuals and businesses, and educational seminars.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
06/18/2015 - Present
Stifel, Nicolaus & Company, Inc. (ROSEVILLE CA)
CA
06/01/2009 - 07/13/2015
MORGAN STANLEY (ROSEVILLE CA)
CA
12/07/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROSEVILLE CA)
CA
07/01/2003 - 12/05/2007
WACHOVIA SECURITIES, LLC (ROSEVILLE CA)
NY
09/15/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MN
08/07/1997 - 10/13/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
CA
08/03/1995 - 08/05/1997
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BC
Issued 08/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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