Lorene J. Bowkley
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.
Lorene Jayne Bowkley, who also goes by Lorene Bowkley, Lorene Jayne Ferris, Lorene Jayne Lesnek, Lorene Jayne Lesniak, Lorene Jayne Misenti, was a registered financial professional .
Lorene is a previously registered financial professional and started their career in finance in 1986. Lorene had worked at 19 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2010 - August 19, 2016
LPL FINANCIAL LLC
September 27, 2010 - August 19, 2016
LPL FINANCIAL LLC
November 13, 2009 - September 13, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - September 13, 2010
PNC WEALTH MANAGEMENT LLC
October 28, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 28, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
September 13, 2007 - October 20, 2009
U.S. BANCORP INVESTMENTS, INC.
May 8, 2007 - October 20, 2009
U.S. BANCORP INVESTMENTS, INC.
April 24, 2006 - April 23, 2007
VISION INVESTMENT SERVICES, INC.
December 1, 2005 - April 25, 2006
CITIZENS SECURITIES, INC.
September 20, 2001 - December 1, 2005
CHARTER ONE SECURITIES, INC.
May 18, 2001 - September 26, 2001
CITICORP INVESTMENT SERVICES
April 1, 1998 - May 16, 2001
LASALLE FINANCIAL SERVICES, INC.
November 9, 1993 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
February 8, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
February 22, 1991 - January 26, 1993
CAPITAL BROKERAGE CORPORATION
December 12, 1989 - December 31, 1990
INVEST FINANCIAL CORPORATION
June 20, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
May 25, 1988 - June 21, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
April 26, 1988 - June 6, 1988
JONATHAN ALAN & CO., INC.
February 4, 1988 - April 28, 1988
PROFILE INVESTMENTS CORPORATION
October 2, 1987 - February 18, 1988
GRAYSTONE NASH, INC.
April 1, 1987 - November 5, 1987
DREHER & ASSOCIATES, INC.
April 23, 1986 - April 5, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
