Joseph B. Lora

FIG TREE CAPITAL

Pasadena, CA

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CRD#: 4651234

Professional summary

Joseph Bernardo Lora, CFP®, who also goes by Pei En Lai, Joseph Lora, is a registered financial advisor currently at FIG TREE CAPITAL located in Pasadena, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pei En Lai | Joseph Lora

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.

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSEPH LORA INVESTMENT RELATED: N ADDRESS OF BUSINESS: PASADENA, CALIFORNIA 91103 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 1/1/2016 NUMBER OF HOURS DEVOTED: 1 HOUR/MONTH NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS OBA HAS CHANGED INTO A LONG TERM 1 YEAR RENTAL OF MY MASTER BEDROOM IN MY OWNED CONDO UNIT TO ANOTHER PERSON. THIS IS NOT IN LLC NAME NOR ANY OTHER COMPLICATED STRUCTURE. ALL CHECKS ARE MADE PAYABLE TO JOSEPH LORA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Bernardo Lora's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

May 2, 2017 - Present

FIG TREE CAPITAL

RIA

CRD#: 6321

MINNEAPOLIS, MN

Past

July 3, 2003 - January 13, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 2, 2003 - June 16, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODLAND HILLS, CA

Past

May 14, 2003 - June 16, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/2/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/31/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

Current Firm

FIG TREE CAPITAL

FIG TREE CAPITAL | LORA, JOSEPH B.

CRD#: 288112 / SEC#:

California

Registered Investment Advisory firm - (5/2/2017 Approved)

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Contact information

Main Address

Pasadena, CA

Mailing Address

Phone number

(310) 855-4955

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 5,681,393

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.

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Firm Stability Insights

Joseph B. Lora

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Bernardo Lora's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2003

SIE

Date: 5/1/2017

Series 7

Date: 5/12/2003

Current Firm

FIG TREE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIG TREE CAPITAL

TRUST BUT VERIFY

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