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LS

Lori A. Schiaffino

Some features on this profile are disabled
CRD#: 4938919
LS

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 A. Schiaffino was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 2005. Lori had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 3, 2016 - December 31, 2024

WAVECREST SECURITIES LLC

BD
CRD#: 160135
NEW YORK, NY
Past

June 11, 2009 - October 8, 2014

EMERALD POINT CAPITAL, LLC

BD
CRD#: 132014
OAKDALE, NY
Past

September 12, 2007 - May 27, 2009

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
NEW YORK, NY
Past

June 21, 2005 - September 10, 2007

EMERALD POINT CAPITAL, LLC

BD
CRD#: 132014
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2005
General Securities Representative Examination

Current Firm

WS
WAVECREST SECURITIES LLC
WAVECREST SECURITIES LLC

CRD#: 160135 / SEC#: , 8-69029

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
205 Powell Place, Brentwood, TN 37027
Mailing Address
205 Powell Place, Brentwood, TN 37027
Phone number
(646) 558-6322
Established
Delaware since 12/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WAVECREST HOLDINGS LLCOWNER
CREIGHTON, JOHN MATTHEWFINOP1909492
MACK, KRISTOFFER BPRESIDENT & MANAGING MEMBER1600055
RAPELLO, PAUL STUARTCHIEF COMPLIANCE OFFICER & MANAGING MEMBER1726017

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.

Company Information

WAVECREST SECURITIES LLC

CRD#: 160135

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