Lou A. Varanese
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.
Lou Anthony Varanese, who also goes by Lou Varanese, Louis Anthony Varanese, was a registered financial professional .
Lou is a previously registered financial professional and started their career in finance in 1994. Lou had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2021 - June 16, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 31, 2021 - June 16, 2023
FIDELITY BROKERAGE SERVICES LLC
October 9, 2009 - September 20, 2019
RBC CAPITAL MARKETS, LLC
October 9, 2009 - September 20, 2019
RBC CAPITAL MARKETS, LLC
June 3, 2003 - October 9, 2009
J. B. HANAUER & CO.
October 15, 1996 - October 9, 2009
J. B. HANAUER & CO.
September 3, 1994 - October 16, 1996
HALPERT AND COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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.
