Lorie M. Clarke
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.
Lorie Maria Clarke, who also goes by Lorie M Clarke, Lorie Clarke Clarkepowell, Lorie Maria Clarkepowell, Lorie Clarke Powell, was a registered financial professional .
Lorie is a previously registered financial professional and started their career in finance in 1982. Lorie had worked at 9 firms and has passed the Series 63 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
January 3, 2011 - May 20, 2014
B. RILEY WEALTH MANAGEMENT
August 1, 2000 - January 11, 2011
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
May 29, 1990 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 10, 1990 - May 21, 1990
GINTELCO, INC.
March 28, 1988 - March 26, 1990
ICAP SECURITIES USA LLC
July 25, 1987 - February 8, 1988
INTERCAPITAL GOVERNMENT SECURITIES INC.
June 11, 1984 - March 10, 1986
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 24, 1982 - March 2, 1983
WEDBUSH SECURITIES 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
Exams
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
