Alma B. Piscitello
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.
Alma B Piscitello, who also goes by Alma Beatriz Piscitello, Alma Beatriz Robles, Alma Beatriz Rodriguez, Alma B Torres, Alma Beatriz Torres, was a registered financial professional .
Alma is a previously registered financial professional and started their career in finance in 2003. Alma had worked at 6 firms and has passed the Series 66, Series 7TO, 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
October 6, 2014 - June 11, 2019
ORION PORTFOLIO SOLUTIONS, LLC
October 6, 2014 - December 31, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 1, 2009 - September 25, 2014
MORGAN STANLEY
June 1, 2009 - September 25, 2014
MORGAN STANLEY
April 26, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 5, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 19, 2005 - January 10, 2006
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - December 20, 2005
FRANKLIN DISTRIBUTORS, LLC
October 24, 2005 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
July 11, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
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
Series 7TO
Date: 4/30/2024
General Securities Representative ExaminationCurrent Firm
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 203,878 |
| AUM (Assets Under Management) | $ 57,658,151,186 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 10/21/2024 | ||
| 01/17/2024 | ||
| 10/25/2022 |
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.
