Lori A. Riley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lori Anne Riley, who also goes by Lori Anne Harding, Lori Anne Paolino, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1985. Lori had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2002 - July 10, 2018
MISSIONSQUARE RETIREMENT
February 5, 1997 - July 10, 2018
MISSIONSQUARE INVESTMENT SERVICES
April 26, 1988 - December 31, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 23, 1987 - March 29, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 23, 1987 - April 6, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 23, 1987 - April 6, 1988
OSAIC FA, INC.
March 19, 1986 - December 31, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 30, 1985 - August 25, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 29, 1985 - April 30, 1985
GWF SECURITIES, CORP.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
