Lori A. Fernicola
Professional summary
Lori Ann Fernicola, CFP®, who also goes by Lori Fernicola, Lori Ann Lorenzen, Lori Lorenzen, is a registered financial advisor currently at CASTLE WEALTH MANAGEMENT located in Boynton Beach, Florida.
Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Lori has worked at 6 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Fernicola's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2019
Experience
April 12, 2021 - Present
CASTLE WEALTH MANAGEMENT
Office #1: 1880 N Congress Ave Suite 302, Boynton Beach, FL 33426April 5, 2016 - June 16, 2021
BANYAN GLOBAL INVESTMENT ADVISORS, LLC
January 25, 2016 - April 28, 2016
BANYAN GLOBAL INVESTMENT ADVISORS, LLC
March 8, 2006 - February 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - February 3, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
April 16, 2003 - September 8, 2005
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/16/2021)
(4/12/2021)
Exams
Series 55
Date: 4/18/2005
Limited Representative-Equity Trader ExamCurrent Firm
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 812 |
| AUM (Assets Under Management) | $ 371,943,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 01/18/2024 | ||
| 10/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CASTLE WEALTH MANAGEMENT
CRD#: 118364Boynton Beach, FL 33426TRUST BUT VERIFY
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