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Detailed Report
LORI KIRKNER
LORI V KIRKNER, LORI VEREEN KIRKNER, LORI KIM VEREEN
CRD#: 1903977
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2501 20TH PL S STE 350
BIRMINGHAM, AL 35223
Registration History
19952000200520102015202020252 FIRMS2015 - 2015 (<1 year)3 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - Present (6 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2015 (1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2004 - 2013 (9 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)2000 - 2004 (4 years)BSTERNE, AGEE & LEACH, INC. (CRD# 791)1992 - 2000 (7 years)BPROEQUITIES, INC. (CRD# 15708)1997 - 1997 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 1992 (<1 year)
Disclosure(s)
View By:
2/10/2025
Judgment / Lien
1/17/2025
Judgment / Lien
License(s)

State Registrations

B
Alabama 2/15/2019
B
Massachusetts 11/14/2023
IA
Alabama 2/15/2019
B
Utah 11/14/2023
B
Arkansas 11/14/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
COLUMBIANA, AL
Registered with this firm since 2/15/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
COLUMBIANA, AL
Registered with this firm since 2/15/2019
Previous Registration(s)
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IA
 08/26/2016 - 02/14/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Birmingham, AL
IA
 08/26/2016 - 02/14/2019 TD AMERITRADE, INC. (CRD#:7870) BIRMINGHAM, AL
B
 08/26/2016 - 02/14/2019 TD AMERITRADE, INC. (CRD#:7870) BIRMINGHAM, AL
IA
 12/02/2015 - 12/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTSVILLE, AL
B
 06/19/2015 - 12/08/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNTSVILLE, AL
B
 05/16/2013 - 04/02/2015 BBVA SECURITIES INC. (CRD#:27060) BIRMINGHAM, AL
B
 03/26/2004 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) BIRMINGHAM, AL
B
 01/05/2000 - 02/24/2004 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
 04/16/1992 - 01/05/2000 STERNE, AGEE & LEACH, INC. (CRD#:791) BIRMINGHAM, AL
B
 08/26/1997 - 10/10/1997 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
B
 12/19/1991 - 04/14/1992 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.