Lori Prokopenko

WEDBUSH SECURITIES

CHICAGO, IL 60604

Some features on this profile are disabled

CRD#: 2473833

Professional summary

Lori Prokopenko, who also goes by Lori L Prokopenko, Lori Lynn Prokopenko, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in Chicago, Illinois.

Lori is registered as a RR (Registered Representative) and started their career in finance in 1994. Lori has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Aliases

Lori L Prokopenko | Lori Lynn Prokopenko

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) - BD

Click below to view Lori Prokopenko's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 24, 2026 - Present

WEDBUSH SECURITIES INC.

Office #1: 141 West Jackson Blvd Ste 1710-a, Chicago, IL 60604

RIA

CRD#: 877

CHICAGO, IL

Past

June 30, 2021 - December 31, 2024

STONEX OUTSOURCED SERVICES LLC

CRD#: 30773

PARK CITY, UT

Past

March 1, 2019 - November 10, 2025

STONEX FINANCIAL INC.

CRD#: 45993

Chicago, IL

Past

September 7, 2017 - April 17, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chicago, IL

Past

December 3, 2004 - November 15, 2017

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

November 1, 2003 - April 16, 2004

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

July 23, 2002 - November 1, 2003

HARRIS NESBITT CORP.

CRD#: 7299

CHICAGO, IL

Past

November 2, 2000 - July 10, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

September 18, 1996 - December 31, 1997

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

June 3, 1994 - June 3, 1996

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

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".

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

Series 63

Date: 10/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 4/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 5/26/1994

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

WEDBUSH SECURITIES INC.

WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW

CRD#: 877 / SEC#: 801-6358, 8-12987

RIA

Registered Investment Advisory firm - SEC (2/27/1970 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101

Mailing Address

225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101

Phone number

(213) 688-8000

Established

California since 07/08/1966

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

897

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WEDBUSH SECURITIES INC. FORM ADV PART 2A (10/13/2025)

WEDBUSH SECURITIES INC. FORM ADV PART 2A APPENDIX OF FORM 1 ADV WRAP FEE (10/13/2025)

Direct owners and executive officers

Name	Position	CRD#
WEDBUSH FINANCIAL SERVICES, LLC	OWNER
BILLINGS, DANIEL ERIC	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR	4568232
BLAND, GEOFFREY CONOR	DIRECTOR	7358773
DEMPSEY, FRANCIS BURKE	EXECUTIVE VICE PRESIDENT	2428325
DRUCH, ANDREW WALTER	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR	1688071
FITZSIMMONS, ROBERT GERARD	EXECUTIVE VICE PRESIDENT	1878661
FRAUNCES, KIRSTEN CAMPBELL	EXECUTIVE VICE PRESIDENT	2933930
HULTGREN, DONALD WAYNE	EXECUTIVE CHAIR, DIRECTOR	1475369
MONE, CHRISTOPHER MICHAEL	EXECUTIVE VICE PRESIDENT	2401952
PARRODE, RODRIGO NMN	EVP, CHIEF OPERATING OFFICER	4905345
PASET, ROBERT EDWARD	EXECUTIVE VICE PRESIDENT	1055902
PRESTON, ERIN KATHLEEN	CHIEF COMPLIANCE OFFICER	5314250
WEDBUSH, GARY LANCE	PRESIDENT, DIRECTOR	2234455

Regulatory assets under management

Total Number of Accounts	10,048
AUM (Assets Under Management)	$ 5,684,848,455

Disclosures

Regulatory Event	147
Civil Event	3
Arbitration	60
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2025	Cover Page	Report
10/28/2024	Cover Page	Report
04/26/2024	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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

CHICAGO, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

CHICAGO, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lori Prokopenko

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lori Prokopenko's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX OUTSOURCED SERVICES LLC

STONEX FINANCIAL INC.

CHARLES SCHWAB & CO., INC.

OPTIONSXPRESS, INC.

BMO CAPITAL MARKETS CORP.

HARRIS NESBITT CORP.

ABN AMRO INCORPORATED

MF GLOBAL INC.

MF GLOBAL INC.

Primary Firm SEC Registration

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 4/17/2018

Series 7

Date: 7/25/1995

Series 27

Date: 5/26/1994

FINRA

Current Firm

WEDBUSH SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WEDBUSH SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors