Lora L. Pierson
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.
Lora Lu Pierson, who also goes by Lora L Pierson, Lora L Rittenburg, Lora Rittenburg, was a registered financial professional .
Lora is a previously registered financial professional and started their career in finance in 1997. Lora had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2018 - June 13, 2022
JANNEY MONTGOMERY SCOTT LLC
November 30, 2018 - June 13, 2022
JANNEY MONTGOMERY SCOTT LLC
November 4, 2008 - December 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2008 - December 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2006 - November 12, 2008
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - November 12, 2008
CITIGROUP GLOBAL MARKETS INC.
July 2, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 2, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 17, 1999 - October 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 1999 - October 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 1997 - April 19, 1999
DAVENPORT & COMPANY LLC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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
Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
