Lori L. Richardson
Professional summary
Lori L Richardson, who also goes by Lori L Johnson, Lori Lea Wilson, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Overland Park, Kansas.
Lori is registered as a RR (Registered Representative) and started their career in finance in 2007. Lori has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori L Richardson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2020 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 7300 College Boulevard Suite 306, Overland Park, KS 66210March 19, 2020 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 21, 2014 - October 24, 2019
VALIC FINANCIAL ADVISORS, INC.
January 3, 2014 - October 24, 2019
VALIC FINANCIAL ADVISORS, INC.
March 22, 2007 - January 7, 2014
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/19/2020)
(3/19/2020)
Exams
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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