Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Kirkner is a financial professional with over 30 years of experience in the industry. Lori is currently registered with Wells Fargo Clearing Services, LLC, and has previously worked at several other firms including TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BBVA Securities Inc. Lori holds Series 7, 9, 10, 24, 52, 53, 63, 66, and 99TO licenses. Lori's specializations include investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
AL
02/15/2019 - Present
Wells Fargo Clearing Services, LLC (BIRMINGHAM AL)
AL
08/26/2016 - 02/14/2019
TD AMERITRADE, INC. (BIRMINGHAM AL)
AL
06/19/2015 - 12/08/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTSVILLE AL)
AL
05/16/2013 - 04/02/2015
BBVA SECURITIES INC. (BIRMINGHAM AL)
AL
03/26/2004 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (BIRMINGHAM AL)
AL
01/05/2000 - 02/24/2004
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
AL
04/16/1992 - 01/05/2000
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
AL
08/26/1997 - 10/10/1997
PROEQUITIES, INC. (BIRMINGHAM AL)
NY
12/19/1991 - 04/14/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 12/01/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/07/1992
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 12/23/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/03/1998
Series 24 - General Securities Principal Examination
BC
Issued 06/26/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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