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AN LE
CRD#: 6600209
IA
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FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 KATY, TX
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 RENTON, WA
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Disclosures
8
Years of Experience
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State Registrations
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Alabama 4/25/2022
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Nebraska 4/25/2022
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Alaska 4/25/2022
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Nevada 4/25/2022
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Arizona 4/25/2022
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New Hampshire 4/25/2022
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Arkansas 4/25/2022
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New Jersey 4/25/2022
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California 4/25/2022
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New Mexico 4/25/2022
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Colorado 4/25/2022
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New York 4/25/2022
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Connecticut 4/25/2022
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North Carolina 4/25/2022
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Delaware 4/25/2022
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North Dakota 4/25/2022
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District of Columbia 4/25/2022
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Ohio 4/26/2022
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Florida 4/25/2022
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Oklahoma 4/25/2022
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Georgia 4/25/2022
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Oregon 4/25/2022
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Hawaii 4/25/2022
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Pennsylvania 4/25/2022
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Idaho 4/25/2022
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Puerto Rico 4/25/2022
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Illinois 4/25/2022
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Rhode Island 4/25/2022
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Indiana 4/25/2022
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South Carolina 4/25/2022
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Iowa 4/25/2022
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South Dakota 4/25/2022
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Kansas 4/25/2022
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Tennessee 4/25/2022
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Kentucky 4/25/2022
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Texas 4/25/2022
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Louisiana 4/25/2022
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Texas 5/23/2022
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Maine 4/25/2022
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Utah 4/25/2022
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Maryland 4/25/2022
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Vermont 4/25/2022
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Massachusetts 4/25/2022
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Virginia 4/25/2022
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Michigan 4/25/2022
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Washington 4/25/2022
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Minnesota 4/25/2022
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Washington 11/8/2023
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Mississippi 4/25/2022
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West Virginia 4/25/2022
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Missouri 4/25/2022
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Wisconsin 4/25/2022
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Montana 4/26/2022
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Wyoming 4/25/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/23/2022
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/18/2019 - 03/06/2022 | KATY, TX | |
B | 12/18/2019 - 03/06/2022 | KATY, TX | |
IA | 06/20/2019 - 10/28/2019 | HOUSTON, TX | |
B | 06/20/2019 - 10/28/2019 | HOUSTON, TX | |
IA | 06/28/2017 - 03/07/2019 | LAKEWOOD, CO | |
B | 06/28/2017 - 03/07/2019 | LAKEWOOD, CO | |
IA | 03/25/2017 - 06/06/2017 | GREENWOOD VILLAGE, CO | |
B | 03/25/2017 - 06/06/2017 | GREENWOOD VILLAGE, CO | |
IA | 01/31/2017 - 03/25/2017 | GREENWOOD VILLAGE, CO | |
B | 10/04/2016 - 03/25/2017 | GREENWOOD VILLAGE, CO | |
B | 04/08/2016 - 08/09/2016 | ST. LOUIS, MO |
For additional information about investment advisers or broker-dealers, please visit
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.
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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.