Lory A. Espino
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.
Lory Alejandrez Espino, who also goes by Lory A. Espino, Lory Espino, Lory Ringley, Lory Varella, was a registered financial professional .
Lory is a previously registered financial professional and started their career in finance in 2007. Lory had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, 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
June 8, 2023 - April 4, 2025
ADVISORS ASSET MANAGEMENT, INC.
June 8, 2023 - April 4, 2025
ADVISORS ASSET MANAGEMENT, INC.
December 21, 2022 - June 22, 2023
CAPTRUST
December 20, 2022 - June 22, 2023
CAPFINANCIAL SECURITIES, LLC.
May 5, 2021 - October 24, 2022
SWBC INVESTMENT COMPANY
May 5, 2021 - October 24, 2022
SWBC INVESTMENT SERVICES, LLC
May 23, 2020 - May 12, 2021
CHARLES SCHWAB & CO., INC.
May 23, 2020 - May 12, 2021
CHARLES SCHWAB & CO., INC.
March 19, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
September 29, 2016 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
October 1, 2012 - May 14, 2013
J.P. MORGAN SECURITIES LLC
July 30, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 14, 2007 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
