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LS

Lore A. Slover

Some features on this profile are disabled
CRD#: 5913252
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.

Lore Ann Slover, who also goes by Lore A Slover, was a registered financial professional .

Lore is a previously registered financial professional and started their career in finance in 2012. Lore had worked at 1 firm and has passed the Series 6 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lore A Slover

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

December 18, 2012 - April 10, 2014

NPB FINANCIAL GROUP, LLC

BD
CRD#: 137743
TEHACHAPI, CA

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

General Industry/Product Exam
RR
Series 6
Date: 12/17/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NF
NPB FINANCIAL GROUP, LLC
NPB FINANCIAL GROUP, LLC

CRD#: 137743 / SEC#: 801-65903, 8-67113

BD
Terminated by SEC on 10/11/2022
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Contact information

Main Address
3500 W. Olive Ave Suite 300, Burbank, CA 91505
Mailing Address
Phone number
(818) 827-7132
Established
California since 08/19/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

NPB ADV PART 2 BROCHURE (3/28/2022)

Direct owners and executive officers

NamePositionCRD#
NAKAGIRI REV LIVING TRUSTMEMBER
PASH, MARK STEVENMEMBER - MANAGER869880
BRAZIEL, JAMES AUDYMEMBER2321699
BRAZIEL, JAMES HUBERTMEMBER - MANAGER29443
CHAN, FRANK STEWARTVICE-PRESIDENT/CHIEF MARKETING OFFICER2549010
CHING, GARY KOON CHEONGVICE-PRESIDENT / CFO/ACTING CCO1631264
CORIA, SHIRLEY JAMILVICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO1111255
MCFARLAND, RICHARD BENN JRTRUSTEE1080626
WRIGHT FINANCIAL, LLCMEMBER
MCFARLAND 1980 FAMILY TRUSTMEMBER
NAKAGIRI, MARIA AGNESTRUSTEE5723640

Regulatory assets under management

Total Number of Accounts1,698
AUM (Assets Under Management)$ 248,794,176

Disclosures

Regulatory Event2

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

NPB FINANCIAL GROUP, LLC

CRD#: 137743

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