Joseph E. Lasala
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.
Joseph Edward Lasala, who also goes by Joseph Lasala, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, 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
December 16, 2022 - July 14, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 22, 2021 - July 13, 2023
FIDELITY BROKERAGE SERVICES LLC
July 5, 2013 - January 31, 2014
LPL FINANCIAL LLC
May 1, 2007 - July 9, 2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 16, 2004 - February 16, 2007
T. ROWE PRICE ADVISORY SERVICES, INC.
August 14, 2002 - February 16, 2007
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 28, 2002 - June 13, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
November 5, 1998 - June 11, 2001
A. G. EDWARDS & SONS, 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 7TO
Date: 1/21/2021
General Securities Representative ExaminationCurrent 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.
