Lori A. Biscardi
Professional summary
Lori Anne Biscardi, who also goes by Lori Anne Iovino, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Red Bank, New Jersey.
Lori is registered as a RR (Registered Representative) and started their career in finance in 2002. Lori has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori Anne Biscardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701March 5, 2010 - December 19, 2012
VFINANCE INVESTMENTS, INC
February 25, 2004 - July 23, 2022
NATIONAL SECURITIES CORPORATION
June 24, 2002 - January 30, 2004
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
(7/22/2022)
(7/22/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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