Renea L. Thomas
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.
Renea Lorraine Thomas was a registered financial professional .
Renea is a previously registered financial professional and started their career in finance in 1989. Renea had worked at 10 firms and has passed the 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
April 18, 2022 - September 13, 2022
FIDELITY BROKERAGE SERVICES LLC
February 14, 2017 - September 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2004 - September 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2003 - October 14, 2004
UBS FINANCIAL SERVICES INC.
September 11, 2003 - October 14, 2004
UBS FINANCIAL SERVICES INC.
July 1, 2003 - August 20, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 20, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 9, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 26, 2001 - March 22, 2001
PRUDENTIAL EQUITY GROUP, LLC
December 14, 1995 - February 17, 1999
AMERICAN INVESTORS COMPANY
April 10, 1995 - December 5, 1995
WMA SECURITIES, INC.
January 29, 1994 - December 2, 1994
TD AMERITRADE, INC.
September 17, 1993 - December 6, 1993
CITIGROUP GLOBAL MARKETS INC.
September 23, 1992 - December 6, 1993
KENNEDY, CABOT & CO.
August 22, 1989 - August 12, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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