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Anna M. Dela Torre

FIDELITY BROKERAGE SERVICES LLC
Durham, NC 27709
Some features on this profile are disabled
CRD#: 5134908
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Professional summary

Anna Martineau Dela Torre, CFP®, who also goes by Anna Dela Torre, Anna Rose Martineau, Anna Martineau, Anna Marie Rose Martineau, Anna Martineau Smolka, Anna Smolka, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.

Anna is registered as a RR (Registered Representative) and started their career in finance in 2006. Anna has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anna Dela Torre | Anna Rose Martineau | Anna Martineau | Anna Marie Rose Martineau | Anna Martineau Smolka | Anna Smolka

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anna Martineau Dela Torre's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

February 5, 2019 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 100 New Millennium Way, Durham, NC 27709
BD
CRD#: 7784
Durham, NC
Past

September 13, 2010 - April 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

September 13, 2010 - April 23, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL
Past

April 3, 2007 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

April 2, 2007 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL
Past

February 13, 2007 - April 18, 2007

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

September 29, 2006 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
JACKSONVILLE, FL
Past

July 18, 2006 - September 28, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
JACKSONVILLE, FL
Past

July 6, 2006 - September 28, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
JACKSONVILLE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(2/15/2019)
RR
North Carolina
(2/15/2019)
RR
Texas
(2/15/2019)
RR
Utah
(2/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/5/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/10/2021
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/23/2021
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MAHNA, ROHITHEAD OF CLIENT GROWTH4078386
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration124

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.

Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Durham, NC 27709

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