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LW

Lori B. Wise

Some features on this profile are disabled
CRD#: 1735224
LW

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 B. Wise, who also goes by Lori June Berkowitz, Lori Berkowitz, Lori Berkowitzwise, Lori B Wise, Lori B. Wise, Lori Berkowitz Wise, Lori J Wise, Lori June Wise, Lori Wise, was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 1987. Lori had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lori June Berkowitz | Lori Berkowitz | Lori Berkowitzwise | Lori B Wise | Lori B. Wise | Lori Berkowitz Wise | Lori J Wise | Lori June Wise | Lori Wise

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 4, 2021 - August 6, 2024

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
Las Vegas, NV
Past

June 4, 2019 - July 7, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LAS VEGAS, NV
Past

June 4, 2019 - July 7, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LAS VEGAS, NV
Past

November 15, 2012 - June 18, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
HENDERSON, NV
Past

October 11, 2012 - June 18, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
HENDERSON, NV
Past

August 2, 2012 - September 7, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LAS VEGAS, NV
Past

November 17, 2010 - June 20, 2011

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

May 22, 2008 - November 3, 2009

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

May 16, 1998 - November 3, 2009

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
SCOTTSDALE, AZ
Past

April 1, 1994 - November 14, 1997

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

July 31, 1993 - March 22, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 21, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 7, 1988 - April 16, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 24, 1987 - August 16, 1988

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2004
General Securities Principal Examination

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853

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