Lori A. Lachance
Professional summary
Lori A Lachance, who also goes by Lori Ann Lachance, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Lori is registered as a RR (Registered Representative) and started their career in finance in 1997. Lori has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lori A Lachance's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917September 14, 1999 - March 31, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
June 3, 1999 - September 2, 1999
SCUDDER FINANCIAL SERVICES, INC.
December 18, 1997 - June 3, 1999
DEAM INVESTOR SERVICES, INC.
April 10, 1997 - December 9, 1997
CITIZENS SECURITIES, 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
(6/21/2011)
(6/21/2011)
Exams
FINRA
New York Stock Exchange
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
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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