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LAUREN ALYSSA OZUNA
CRD#: 5024301
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 10500 NE 8TH STREET-STE 100
BELLEVUE PLACE
BELLEVUE, WA 98004
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 BELLEVUE, WA
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2017 (6 years)2 FIRMS2019 - Present (5 years)IAVITA INTELLECTUS, LLC (CRD# 159164)2019 - 2019 (<1 year)IAVITA INTELLECTUS, LLC (CRD# 159164)2018 - 2018 (<1 year)
Disclosure(s)
View By:
9/2/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 10/27/2021

B
Nevada 8/13/2021

B
Alaska 10/27/2021

B
New Hampshire 10/27/2021

B
Arizona 3/17/2020

B
New Jersey 8/2/2021

B
Arkansas 10/27/2021

B
New Mexico 10/27/2021

B
California 4/3/2019

B
New York 7/27/2020

B
Colorado 10/27/2021

B
North Carolina 10/27/2021

B
Connecticut 10/27/2021

B
North Dakota 10/27/2021

B
Delaware 10/27/2021

B
Ohio 10/28/2021

B
District of Columbia 10/27/2021

B
Oklahoma 10/27/2021

B
Florida 4/23/2020

B
Oregon 10/8/2021

B
Georgia 10/27/2021

B
Pennsylvania 10/27/2021

B
Hawaii 10/27/2021

B
Puerto Rico 10/27/2021

B
Idaho 3/26/2019

B
Rhode Island 8/8/2020

B
Illinois 10/27/2021

B
South Carolina 10/27/2021

B
Indiana 10/27/2021

B
South Dakota 4/23/2020

B
Iowa 10/27/2021

B
Tennessee 8/13/2021

B
Kansas 10/27/2021

B
Texas 3/26/2019

B
Kentucky 4/23/2020

IA
Texas 5/23/2019

B
Louisiana 6/17/2021

B
Utah 10/27/2021

B
Maine 8/8/2020

B
Vermont 10/27/2021

B
Maryland 10/27/2021

B
Virgin Islands 10/27/2021

B
Massachusetts 10/27/2021

B
Virginia 10/27/2021

B
Michigan 10/8/2021

B
Washington 3/26/2019

B
Minnesota 2/12/2021

IA
Washington 4/1/2019

B
Mississippi 10/27/2021

B
West Virginia 10/27/2021

B
Missouri 10/27/2021

B
Wisconsin 10/27/2021

B
Montana 10/27/2021

B
Wyoming 10/27/2021

B
Nebraska 10/27/2021

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
10500 NE 8TH STREET-STE 100 BELLEVUE PLACE, BELLEVUE, WA 98004
Registered with this firm since 4/1/2019

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
BELLEVUE, WA
Registered with this firm since 3/26/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/17/2019 - 01/18/2019 VITA INTELLECTUS, LLC (CRD#:159164) KIRKLAND, WA
IA
01/17/2018 - 12/31/2018 VITA INTELLECTUS, LLC (CRD#:159164) KIRKLAND, WA
IA
07/29/2011 - 09/12/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) THE WOODLANDS, TX
B
07/27/2011 - 09/12/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) THE WOODLANDS, TX
IA
08/01/2008 - 07/12/2011 STRATEGIC ADVISERS, INC. (CRD#:104555) SEATTLE, WA
B
07/30/2008 - 07/11/2011 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SEATTLE, WA
IA
11/07/2006 - 07/09/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BELLEVUE, WA
B
08/21/2006 - 07/09/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.