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LF

Lorene T. Faria

ROOSEVELT & CROSS
East Greenwich, RI 02818
Some features on this profile are disabled
CRD#: 1778061
LF

Professional summary

Lorene Teresa Faria, who also goes by Lorene Teresa Lima, is a registered financial professional currently at ROOSEVELT & CROSS, INCORPORATED located in East Greenwich, Rhode Island.

Lorene is registered as a RR (Registered Representative) and started their career in finance in 2000. Lorene has worked at 1 firm and has passed the Series 63, SIE and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lorene Teresa Lima

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lorene Teresa Faria's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 26, 2000 - Present

ROOSEVELT & CROSS, INCORPORATED

Office #1: 5586 Post Road Suite 210, East Greenwich, RI 02818
BD
CRD#: 6964
East Greenwich, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(10/27/2023)
RR
Connecticut
(10/17/2000)
RR
Florida
(10/18/2000)
RR
Maine
(10/18/2000)
RR
Massachusetts
(10/17/2000)
RR
New Hampshire
(10/17/2000)
RR
New York
(10/17/2000)
RR
Rhode Island
(10/31/2000)
RR
Vermont
(10/18/2000)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 6/21/2000
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROOSEVELT & CROSS, INCORPORATED
ROOSEVELT & CROSS, INCORPORATED

CRD#: 6964 / SEC#: , 8-19363

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Broadway 22nd Fl, New York, NY, 10006
Mailing Address
55 Broadway 22nd Fl, New York, NY, 10006
Phone number
(212) 344-2500
Established
New York since 04/19/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FARAWELL, JOHN MADDENDIRECTOR1018554
FINN, FRANCIS GREGORYCHAIRMAN OF THE BOARD1019346
BRENNAN, ELAINE MARIEDIRECTOR720043
HALLER, JOSEPH CROSSDIRECTOR4826263
MONAHAN, SCOTT THOMASDIRECTOR4882785
STAVITSKI, CHARLES CLEMENTCEO5435642
WAGNER, DAVID CHARLESDIRECTOR4249755
WELSH, WILLIAM WALTER5% OWNER1602929
CAWLEY, KATHLEENCCO1129804
MOORE, DAVID WILLIAMCOO/SENIOR VICE PRESIDENT2209528
SAKOL, DANIEL SCOTTFINOP2813237

Disclosures

Regulatory Event4

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.

Company Information

ROOSEVELT & CROSS, INCORPORATED

CRD#: 6964East Greenwich, RI 02818

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