Douglas R. Lamont
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Ranlet Lamont, who also goes by Doug Lamont, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2003. Douglas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 29, 2010 - July 13, 2018
STRATEGIC ADVISERS LLC
September 23, 2009 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
December 19, 2008 - February 24, 2009
STRATEGIC ADVISERS LLC
September 29, 2005 - February 24, 2009
FIDELITY BROKERAGE SERVICES LLC
April 1, 2005 - August 30, 2005
MMC SECURITIES LLC
June 10, 2003 - April 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
