Dana R. Holmes
Professional summary
Dana R Holmes, who also goes by Dana R Carney, Dana Rothwell Carney, Dana Rothwell Depetrillo, Dana Rothwell Depetrilo, Dana Rothwell Holmes, Dana Holmes, Dana Rothwell Jorgensen, Dana Jorgensen, Dana Rothwell Jorgenson, is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Chepachet, Rhode Island and NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Dana has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dana R Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2021 - Present
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
Office #2: 500 Salem Street, Smithfield, RI 02917December 17, 2020 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917January 17, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917March 2, 2015 - January 3, 2020
SANTANDER SECURITIES LLC
February 24, 2015 - January 3, 2020
SANTANDER SECURITIES LLC
July 30, 2013 - February 6, 2015
CITIZENS SECURITIES, INC.
December 18, 2012 - February 6, 2015
CITIZENS SECURITIES, INC.
November 15, 2012 - December 10, 2012
SANTANDER SECURITIES LLC
September 14, 2011 - September 26, 2012
LPL FINANCIAL LLC
August 6, 2008 - August 21, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 1, 1998 - August 5, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
February 10, 1997 - April 7, 1998
CITIZENS SECURITIES, INC.
Primary Firm SEC Registration
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/22/2020)
(1/13/2021)
(12/18/2020)
(1/13/2021)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
Red Flags
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