Lori M. Heinel
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 Miller Heinel, who also goes by Lori Ann Miller, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1986. Lori had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - February 9, 2021
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 9, 2010 - October 17, 2014
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 29, 2007 - July 29, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 29, 2010
CITIGROUP GLOBAL MARKETS INC.
December 2, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 1, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 14, 1997 - August 15, 2005
SEI INVESTMENTS DISTRIBUTION CO.
August 10, 1995 - September 9, 1997
BNY MELLON CAPITAL MARKETS, LLC
April 15, 1988 - May 17, 1994
PARKER/HUNTER INCORPORATED
November 18, 1986 - March 7, 1988
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 8
Date: 4/18/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
