Lorena Carl
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.
Lorena Carl, who also goes by Lorena Barraza, was a registered financial professional .
Lorena is a previously registered financial professional and started their career in finance in 2011. Lorena had worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2016 - March 9, 2018
SIGFIG WEALTH MANAGEMENT LLC
September 23, 2015 - March 8, 2016
FIDELITY BROKERAGE SERVICES LLC
August 12, 2015 - September 14, 2015
MORGAN STANLEY
August 12, 2015 - September 14, 2015
MORGAN STANLEY
June 5, 2014 - February 19, 2015
USAA FINANCIAL PLANNING SERVICES
June 4, 2013 - February 19, 2015
USAA FINANCIAL ADVISORS, INC.
May 20, 2011 - May 30, 2013
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
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
Current Firm
SIGFIG WEALTH MANAGEMENT LLC
CRD#: 158823 / SEC#: 801-72762
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93,977 |
| AUM (Assets Under Management) | $ 2,972,742,497 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 08/27/2024 | ||
| 10/30/2023 | ||
| 11/22/2022 |
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.
