Lenore Ann Diorio
Professional Summary
Lenore Ann Diorio, who also goes by Lenore Ann Santoro, is a registered financial advisor currently at PERSHING LLC located in Lake Mary, Florida and PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida. Lenore is registered as a RR (Registered Representative) and started their career in finance in 2018. Lenore has worked at 2 firms and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lenore Ann Santoro
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Current Firm
BNY WEALTH SOLUTIONS | PERSHING TRADING COMPANY, L.P. | PERSHING ADVISOR SOLUTIONS LLC
Contact Information
Main Address
One Pershing Plaza, Jersey City, NJ 07399Mailing Address
One Pershing Plaza, Jersey City, NJ 07399Phone Number
(201) 413-2000Established
Delaware since 09/08/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | — |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KERRIGAN, DONNA L | BOARD MEMBER | 8082390 |
| LAHUTA, EVAN L. | BOARD MEMBER | 4350166 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO) | 2642331 |
Disclosures
Regulatory Event
17Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - BD
Click below to view Lenore Ann Diorio's CRS (Customer Relationship Summary).
Similar Advisors
DAKOTA WEALTH, LLC
CONFIDO CAPITAL, LLC
CHARLES SCHWAB & CO., INC.
LPL FINANCIAL LLC