Michael A. Larosa
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.
Michael Anthony Larosa, who also goes by Mike Larosa, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 9 firms and has passed the Series 66, 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
July 13, 2018 - October 8, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 28, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
November 23, 2012 - October 7, 2019
FIDELITY BROKERAGE SERVICES LLC
October 1, 2012 - November 2, 2012
J.P. MORGAN SECURITIES LLC
November 1, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 13, 2002 - April 9, 2004
CITICORP INVESTMENT SERVICES
July 12, 1999 - August 26, 2002
TD AMERITRADE, INC.
August 19, 1998 - September 17, 1998
GUNNALLEN FINANCIAL, INC
June 30, 1998 - September 3, 1998
KLEIN, MAUS & SHIRE 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
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.
