Lawrence L. Vallario
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.
Lawrence Louis Vallario, who also goes by Larry Vallario Jr, Lawrence Louis Vallario Jr, Lawrence Louis Vallario, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1993. Lawrence had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2023 - September 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 14, 2022 - September 11, 2023
FIDELITY BROKERAGE SERVICES LLC
February 17, 2012 - April 19, 2022
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 22, 2012
CHARLES SCHWAB & CO., INC.
June 29, 2004 - December 31, 2011
CHARLES SCHWAB & CO., INC.
July 12, 2002 - December 17, 2002
CHARLES SCHWAB & CO., INC.
March 21, 1995 - April 19, 2022
CHARLES SCHWAB & CO., INC.
February 14, 1994 - June 16, 1994
AMERIPRISE ADVISOR SERVICES, INC.
August 27, 1993 - November 4, 1993
F.N. WOLF & CO., 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
Series 8
Date: 12/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
