Lori A. Amado
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 Ann Amado, who also goes by Lori Ann Devane, Lori Ann Hopkins, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1998. Lori had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2004 - August 29, 2016
1ST GLOBAL CAPITAL CORP.
April 29, 2003 - September 5, 2003
CITIGROUP GLOBAL MARKETS INC.
February 24, 1999 - September 22, 2001
MML INVESTORS SERVICES, LLC
April 14, 1998 - May 6, 1998
COMMONWEALTH FINANCIAL NETWORK
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
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
