Joseph Bernardo Lora

Employer firm

Fig Tree Capital CRD 288112

$6.77M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2010 → 04/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pasadena, CA
• 04/2017 → Present
  Joseph B. Lora Dba Fig Tree Capital
  Pasadena, CA

Previous Registrations

• 2010-10-19 → 2017-05-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pasadena, CA
  Pasadena, CA
• 2010-02-03 → 2010-10-20
  Investacorp Advisory Services Inc
  Los Angeles, CA
• 2008-05-13 → 2010-01-14
  Wells Fargo Clearing Services, Llc
  Los Angeles, CA
• 2004-05-04 → 2008-04-25
  Banc Of America Investment Services, Inc.
  City Of Commerce, CA
  Pasadena, CA
  Los Angeles, CA
  Pasadena, CA
  Universal City, CA
  City Of Commerce, CA
  Pasadena, CA
• 2003-07-03 → 2004-01-13
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 2003-06-02 → 2003-06-16
  Equitable Advisors, Llc
  Woodland Hills, CA

Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSEPH LORA INVESTMENT RELATED: N ADDRESS OF BUSINESS: PASADENA, CALIFORNIA 91103 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 1/1/2016 NUMBER OF HOURS DEVOTED: 1 HOUR/MONTH NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS OBA HAS CHANGED INTO A LONG TERM 1 YEAR RENTAL OF MY MASTER BEDROOM IN MY OWNED CONDO UNIT TO ANOTHER PERSON. THIS IS NOT IN LLC NAME NOR ANY OTHER COMPLICATED STRUCTURE. ALL CHECKS ARE MADE PAYABLE TO JOSEPH LORA.

Exams

• S66 Uniform Combined State Law Examination
  2003-05-31

Designations

• Chartered Financial Analyst

Other Names

• Pei En Lai
• Joseph Lora