Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lori? Claim Your ProfileLori Richofsky is a financial advisor registered with Morgan Stanley in Carlsbad, CA. Lori has been in the financial services industry since 2005 and has experience working with various clients, including individuals, high-net-worth individuals, corporations, and charitable organizations. Lori holds Series 7, 9, 63, and 66 licenses and is a member of FINRA. Lori has also previously worked with H. Beck, Inc., International Assets Advisory, LLC, S2K FINANCIAL LLC, NEXBANK SECURITIES INC., ATEL SECURITIES CORPORATION, SQN SECURITIES LLC, CYPRESS CAPITAL CORPORATION, and MORGAN STANLEY DW INC.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/10/2023 - Present
Morgan Stanley (Carlsbad CA)
NY
04/24/2018 - 08/03/2020
H. BECK, INC. (RYE BROOK NY)
FL
06/19/2017 - 01/23/2018
INTERNATIONAL ASSETS ADVISORY, LLC (ORLANDO FL)
NY
09/07/2016 - 05/01/2017
S2K FINANCIAL LLC (NEW YORK NY)
TX
07/30/2015 - 02/09/2016
NEXBANK SECURITIES INC (DALLAS TX)
CA
09/22/2014 - 04/21/2015
ATEL SECURITIES CORPORATION (SAN FRANCISCO CA)
NH
06/19/2013 - 01/02/2014
SQN SECURITIES LLC (PORTSMOUTH NH)
CA
11/11/2003 - 08/01/2012
CYPRESS CAPITAL CORPORATION (SAN FRANCISCO CA)
CA
01/22/2002 - 11/05/2003
ATEL SECURITIES CORPORATION (SAN FRANCISCO CA)
NY
02/21/2001 - 01/28/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 04/28/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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