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Lorie Ann Rios

LPl Financial LLC

Whippany, NJ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-17
NJ RA APPROVED 2016-12-21
  • TX RA
    APPROVED_RES
    Since 2023-08-17
  • NJ RA
    APPROVED
    Since 2016-12-21

Branch Locations

110 S Jefferson Rd Ste 301, Whippany, NJ 07981 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Whippany NJ 06/2012 Present
Other Businesses

(1) 06/15/2012 - DBA ONLY - DIVERSIFIED FINANCIAL CONSULTANTS, LLC - WHIPPANY, NJ

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-15
S63 Uniform Securities Agent State Law Examination 1996-08-05
  • S66 Uniform Combined State Law Examination
    2016-12-15
  • S63 Uniform Securities Agent State Law Examination
    1996-08-05
Other Names
  • Lorie Rios-Huaman

View on SEC IAPD

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TARA JEAN RECUPIDO
JOSEPH P OKALY

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · Whippany, NJ
NEW HORIZONS WEALTH MANAGEMENT · CEDAR KNOLLS, NJ
FAIRBRIDGE CAPITAL MANAGEMENT, LLC · CEDAR KNOLLS, NJ
FAIRBRIDGE CAPITAL MANAGEMENT, LLC · Cedar Knolls, NJ
ALLSTATE FINANCIAL ADVISORS, LLC · Cedar Knolls, NJ
ALJEN ASSET MANAGEMENT LLC · CEDAR KNOLLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CEDAR KNOLLS, NJ
LPL FINANCIAL LLC · Cedar Knolls,, NJ

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