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LN

Lori L. Noelcke

Some features on this profile are disabled
CRD#: 2395647
LN

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 Lea Noelcke, who also goes by Lori Lea Mcdowell, was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 1993. Lori had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lori Lea Mcdowell

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

September 29, 2015 - May 7, 2025

RICHWOOD INVESTMENT ADVISORS, LLC

RIA
CRD#: 153550
CINCINNATI, OH
Past

September 28, 2004 - October 12, 2005

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
MONACA, PA
Past

September 8, 1993 - October 24, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
RI
RICHWOOD INVESTMENT ADVISORS, LLC
RICHWOOD INVESTMENT ADVISORS, LLC

CRD#: 153550 / SEC#: 801-121520

RIA
Registered Investment Advisory firm - (6/17/2021 Approved)
Kentucky
Registered Investment Advisory firm - (9/2/2021 Terminated)
Ohio
Registered Investment Advisory firm - (9/3/2021 Terminated)
Texas
Registered Investment Advisory firm - (9/2/2021 Terminated)
Virginia
Registered Investment Advisory firm - (9/4/2021 Terminated)

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
IAR
Series 65
Date: 7/19/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/2/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RI
RICHWOOD INVESTMENT ADVISORS, LLC
RICHWOOD INVESTMENT ADVISORS, LLC

CRD#: 153550 / SEC#: 801-121520

RIA
Registered Investment Advisory firm - (6/17/2021 Approved)
Kentucky
Registered Investment Advisory firm - (9/2/2021 Terminated)
Ohio
Registered Investment Advisory firm - (9/3/2021 Terminated)
Texas
Registered Investment Advisory firm - (9/2/2021 Terminated)
Virginia
Registered Investment Advisory firm - (9/4/2021 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5082 Wooster Road Suite 100, Cincinnati, OH 45226
Mailing Address
Phone number
(513) 871-0123
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RICHWOOD INVESTMENT ADVISORS ADV BROCHURE 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts449
AUM (Assets Under Management)$ 155,072,855

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

RICHWOOD INVESTMENT ADVISORS, LLC

CRD#: 153550

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