Lori T. Hardwick

Some features on this profile are disabled

CRD#: 2277886

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 Tope Hardwick, who also goes by Lori B Lope, Lori Beth Tope, was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 1993. Lori had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 11 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lori B Lope | Lori Beth Tope

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

March 18, 2016 - March 2, 2017

BNY ADVISORS

RIA

CRD#: 106108

Jersey City, NJ

Past

March 18, 2016 - March 2, 2017

PERSHING LLC

CRD#: 7560

OAK BROOK, IL

Past

August 13, 2007 - February 11, 2016

ENVESTNET PMC

RIA

CRD#: 111694

CHICAGO, IL

Past

August 26, 2002 - February 11, 2016

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

August 29, 1995 - April 17, 2000

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

April 20, 1993 - May 8, 1995

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/1994

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 4/19/1993

Assistant Representative-Order Processing Qualification Exam

Principal/Supervisory Exam

Series 24

Date: 5/24/2016

General Securities Principal Examination

Current Firm

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534

Mailing Address

Phone number

800-200-3033, OPTION 3

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BNY MELLON ADVISORS, INC. MANAGED360 PROGRAM WRAP FEE PROGRAM BROCHURE (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INTERMEDIARY SOLUTIONS (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INSTITUTIONAL & HIGH NET WORTH CLIENT SOLUTIONS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	122,578
AUM (Assets Under Management)	$ 23,959,697,127

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lori T. Hardwick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PERSHING LLC

ENVESTNET PMC

PORTFOLIO BROKERAGE SERVICES, INC.

NUVEEN SECURITIES, LLC

BMO CAPITAL MARKETS GKST INC.

Primary Firm SEC Registration

BNY ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/1997

Series 63

Date: 5/11/1994

SIE

Date: 3/2/2017

Series 7

Date: 4/29/1994

Series 11

Date: 4/19/1993

Series 24

Date: 5/24/2016

Current Firm

BNY ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BNY ADVISORS

TRUST BUT VERIFY

Similar Advisors