Richard Loria has been President & Managing Member & (2006) Chief Compliance Officer of MPS-Loria Financial Planners,llc since August 1999, is a control person of the firm and directly owns between 25% and 50% of it. Richard Loria studied at Michigan State University.
MPS-Loria Financial Planners,llc is a Burr Ridge, IL firm with $827M under management, 679 clients and 5 advisers in one office, as of its February 2026 filing.
Rick Loria is Founder and Managing Member of MPS LORIA Financial Planners, LLC. As Managing Member he is responsible for day-to-day firm supervision and strategic growth development. He is also a Senior Financial Advisor providing comprehensive financial planning services to clients, and has been in the industry for over 25 years.
- – present · 26 yearsBurr Ridge, IL · Adviser representative · Firm CRD 122866
Investment adviser representative registrations
Richard Loria is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from February 2000; the most recent is Texas, in August 2013.
- IllinoisSince 7 February 2000
- TexasResidentSince 16 August 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 26 March 2003 |
| Series 27 | Financial and Operations Principal Examination | 23 November 1999 |
| Series 24 | General Securities Principal Examination | 3 May 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 June 1997 |
| Series 7 | General Securities Representative Examination | 19 March 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 October 1991 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 September 1991 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Thomas Loria
- CRD
- 2178578
- Firm
- MPS-Loria Financial Planners,llc · CRD 122866
- Role
- President & Managing Member & (2006) Chief Compliance Officer
- Office
- 7500 SOUTH COUNTY LINE RD., Burr Ridge, IL 60527-6955
- Registration
- Investment adviser registration
- In the industry since
- September 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mpsloria.com
Where does Richard Loria work?
Richard Loria has been President & Managing Member & (2006) Chief Compliance Officer of MPS-Loria Financial Planners,llc since August 1999, and is a control person of the firm.
Is Richard Loria a financial advisor?
Yes. Richard Loria has a current investment-adviser registration in Illinois and Texas, through MPS-Loria Financial Planners,llc since February 2000.
How many years of experience does Richard Loria have?
Richard Loria has 35 years in the financial industry, since September 1991, across 1 adviser firm.
What exams has Richard Loria passed?
Richard Loria has passed 9 licensing exams: the Series 6, Series 63, Series 7, Series 65, Series 24, Series 27, Series 51, Series 14 and Series 99TO. The earliest, the Series 6, was passed in September 1991. FINRA credited Richard Loria with the SIE, which began in October 2018.
Where is Richard Loria based?
Richard Loria’s registered office is in Burr Ridge, IL.
Is Richard Loria registered with FINRA?
No. Richard Loria has no current broker registration.
How can I verify Richard Loria’s record?
Search CRD 2178578 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Loria’s full registration record.
