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DANA HOLMES
DANA R CARNEY, DANA ROTHWELL CARNEY, DANA ROTHWELL DEPETRILLO, DANA ROTHWELL DEPETRILO, DANA ROTHWELL HOLMES…
CRD#: 2842822
IA
B
FIDELITY INSTITUTIONAL WEALTH ADVISER LLCCRD#: 301896 500 Salem Street
SMITHFIELD, RI 02917-1288
SMITHFIELD, RI 02917-1288
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 500 SALEM STREET
SMITHFIELD, RI 02917
SMITHFIELD, RI 02917
0
Disclosures
24
Years of Experience
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State Registrations
B
Rhode Island 12/22/2020
B
Texas 12/18/2020
IA
Rhode Island 1/13/2021
IA
Texas 1/13/2021
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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B
Registered with this firm since 1/17/2021
IA
Registered with this firm since 1/13/2021
B
Registered with this firm since 12/17/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/02/2015 - 01/03/2020 | Dorchester, MA | |
B | 02/24/2015 - 01/03/2020 | Dorchester, MA | |
IA | 07/30/2013 - 02/06/2015 | CRANSTON, RI | |
B | 12/18/2012 - 02/06/2015 | CRANSTON, RI | |
B | 11/15/2012 - 12/10/2012 | COVENTRY, RI | |
B | 09/14/2011 - 09/26/2012 | PROVIDENCE, RI | |
B | 08/06/2008 - 08/21/2009 | FRANKLIN, TN | |
B | 05/01/1998 - 08/05/2008 | SMITHFIELD, RI | |
B | 02/10/1997 - 04/07/1998 | JOHNSTON, RI |
SMITHFIELD, RI
05/01/1998 - 08/05/2008
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.