Loriana Lucchese, IACCP
Loriana Lucchese is a Compliance Consultant with Hardin Compliance Consulting, LLC. She has over 10 years of experience in the financial services industry. She has a strong background in broker dealer and investment advisor compliance, specializing in securities transactions and compliance review.
Prior to joining Hardin Compliance Consulting, Ms. Lucchese worked as a Registered Representative for JPMorgan Invest LLC and Scottrade Inc. While at JPMorgan she served as the key contact for the investment advisor accounts, addressed all operational functions, and maintained compliance for the advisors accounts. She managed the order allocation team, enforced the restricted list and worked closely with compliance and exchange employees to ensure all account transactions were executed properly.
Ms. Lucchese holds the designation Investment Adviser Certified Compliance Professional (IACCP®) from National Regulatory Services, Inc. She has also passed the qualification exams for the following: Series 7 – General Securities Representative, Series 4 – Registered Options Principal, and Series 63 – Uniform Securities Agent State Laws. She majored in finance and received a bachelor’s degree in business administration from Robert Morris University in 2000.Back to Team Page