Lori A. Fino
Professional summary
Lori Ann Fino, who also goes by Lori A Roeme, Lori Ann Roeme, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Lori is registered as a RR (Registered Representative) and started their career in finance in 1994. Lori has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Fino's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2022 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901October 4, 2019 - January 25, 2022
SECURITIES AMERICA, INC.
December 3, 2012 - October 15, 2019
M HOLDINGS SECURITIES, INC.
May 5, 2004 - December 13, 2012
COMMONWEALTH FINANCIAL NETWORK
August 8, 2002 - March 17, 2004
SUNSET FINANCIAL SERVICES, INC.
August 28, 2001 - June 7, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 14, 1994 - May 16, 2001
ARM SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2023)
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(1/3/2023)
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Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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