Louis M. Chirico
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.
Louis Michael Chirico, who also goes by Lou Chirico, Louis Chirico, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1989. Louis 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
February 12, 2009 - January 29, 2018
FIDELITY BROKERAGE SERVICES LLC
September 20, 2007 - December 11, 2008
NATIONAL FINANCIAL SERVICES LLC
May 9, 2006 - December 6, 2006
FIDELITY BROKERAGE SERVICES LLC
August 28, 2002 - October 26, 2005
COMPUTERSHARE SECURITIES CORPORATION
February 9, 2000 - March 22, 2002
MORGAN STANLEY DW INC.
January 31, 2000 - March 29, 2000
VESTAX SECURITIES CORPORATION
October 7, 1997 - February 14, 1998
ALIGHT FINANCIAL SOLUTIONS, LLC
January 1, 1997 - June 26, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 18, 1995 - January 1, 1997
PRUCO SECURITIES, LLC.
May 20, 1992 - August 23, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
December 19, 1989 - June 14, 1990
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
