Lori Ann Alberts
Professional Summary
Lori Ann Alberts, who also goes by Lori Ann Kellogg, is a registered financial advisor currently at BRIGHTON SECURITIES CORP. located in Batavia, New York. Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lori has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 24, Series 51...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lori Ann Kellogg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
Contact Information
Main Address
1703 Monroe Avenue, Rochester, NY 14618Mailing Address
1703 Monroe Avenue, Rochester, NY 14618-1487Phone Number
(585) 473-3590Established
New York since 03/05/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
26SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
FINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,130AUM (Assets Under Management)
$930,950,057Disclosures
Regulatory Event
7Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/02/2026 | Cover Page | Report |
| 01/02/2025 | Cover Page | Report |
| 03/01/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
State Registrations and Notice Filings
(3/31/2026)
(8/4/2025)
(8/4/2025)
(8/4/2025)
(9/27/2018)
(10/8/2018)
(5/14/2026)
(8/4/2025)
(10/16/2018)
(8/4/2025)
(8/4/2025)
(3/26/2026)
(4/17/2026)
(8/4/2025)
(11/28/2017)
(5/11/2021)
(4/7/2026)
(1/21/2026)
(8/4/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 2000About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Alberts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Ann Alberts's CRS (Customer Relationship Summary).
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