Liana Barone
Professional summary
Liana Barone is a registered financial advisor currently at HEROLD ADVISORS, INC. located in Staten Island, New York and HEROLD & LANTERN INVESTMENTS, INC. located in Staten Island, New York.
Liana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Liana has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Liana Barone's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2025 - Present
HEROLD ADVISORS, INC.
Office #1: 1190 Hylan Blvd, Staten Island, NY 10305November 2, 2020 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 1190 Hylan Blvd, Staten Island, NY 10305January 14, 2016 - November 5, 2020
BERNARD HEROLD & CO., INC.
Primary Firm SEC Registration
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/22/2025)
Exams
Series 7TO
Date: 5/3/2025
General Securities Representative ExaminationSeries 11
Date: 11/30/2015
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 489,697,335 |
Red Flags
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