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Lory Alejandrez Espino

Advisors Asset Management, Inc.

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About Lory Alejandrez Espino

Lory Alejandrez Espino is a financial professional who has been working in the industry since January 2011. Lory is registered with Advisors Asset Management, Inc., a firm headquartered in Monument, Colorado. Prior to this, Lory has worked at several other financial institutions. Lory is a licensed investment advisor representative (IAR) in Texas. Lory also holds the Series 7, Series 63, Series 65 and SIE licenses and is a registered representative (RR) with FINRA. Lory's specializations include investment companies, mutual funds and variable contracts.

Firm Information

Lory Espino is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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 businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

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

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Lory Espino’s Registration & Firm History

TX

06/08/2023 - Present

Advisors Asset Management, Inc. (BOERNE TX)

NC

12/20/2022 - 06/22/2023

CAPFINANCIAL SECURITIES, LLC. (RALEIGH NC)

TX

05/05/2021 - 10/24/2022

SWBC INVESTMENT SERVICES, LLC (SAN ANTONIO TX)

TX

05/23/2020 - 05/12/2021

CHARLES SCHWAB & CO., INC. (San Antonio TX)

TX

09/29/2016 - 05/24/2020

USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

TX

10/01/2012 - 05/14/2013

J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)

TX

07/30/2009 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (SAN ANTONIO TX)

TX

05/14/2007 - 05/28/2009

CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)

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Licenses & Designations

IA

Issued 11/30/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/11/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Lory Alejandrez Espino. Review regulatory record here.
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