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LOUIS JUDE DELORENZO
Louis DeLorenzo
CRD#: 4475177
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 15 PARK ROW WEST
SUITE 102
PROVIDENCE, RI 02903
SUITE 102
PROVIDENCE, RI 02903
0
Disclosures
22
Years of Experience
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State Registrations
B
Connecticut 5/29/2024
B
New York 5/29/2024
B
Massachusetts 5/29/2024
B
Rhode Island 5/29/2024
B
New Jersey 5/29/2024
IA
Rhode Island 5/29/2024
SRO Registrations
B
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IA
Registered with this firm since 5/29/2024
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Registered with this firm since 5/29/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/20/2021 - 05/14/2024 | JOHNSTON, RI | |
B | 07/15/2021 - 05/14/2024 | JOHNSTON, RI | |
IA | 04/21/2021 - 07/17/2021 | Chicago, IL | |
B | 03/09/2021 - 07/17/2021 | Chicago, IL | |
IA | 03/09/2021 - 04/21/2021 | Chicago, IL | |
IA | 11/22/2004 - 11/13/2020 | CHICAGO, IL | |
B | 11/15/2004 - 11/13/2020 | CHICAGO, IL | |
IA | 02/13/2003 - 11/10/2004 | NEW YORK, NY | |
B | 02/13/2003 - 11/10/2004 | CHICAGO, IL | |
IA | 04/24/2002 - 11/26/2002 | NEW YORK, NY | |
B | 12/21/2001 - 11/26/2002 | CHICAGO, IL |
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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.