Emily Lafleur
Professional summary
Emily Lafleur, who also goes by Emily Cole Laferriere Ms, Emily Cole Laferriere, Emily Laferriere, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Emily is registered as a RR (Registered Representative) and started their career in finance in 2013. Emily has worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Emily Lafleur's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2016 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 500 Salem Street, Smithfield, RI 02917January 8, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917May 4, 2020 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917June 18, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
July 3, 2013 - January 15, 2014
FIDELITY BROKERAGE SERVICES LLC
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
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
Monitor Emily Lafleur
Get automatic monthly alerts on:
