• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHARLOTTE SOUZA
CHARLOTTE DE-SOUZA, CHARLOTTE DESOUZA, CHARLOTTE N GOMES, CHARLOTTE NASCIMENTO GOMES, CHARLOTTE GOMES
CRD#: 6625207
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 ONE CENTURY TOWER
265 CHURCH STREET
NEW HAVEN, CT 06510
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 SHELTON, CT
Registration History
2016201720182019202020212022202320242025IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2019 - Present (5 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2018 - 2019 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2018 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2017 (<1 year)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2016 - 2016 (<1 year)
License(s)

State Registrations

B
Alabama 10/13/2021

B
Nebraska 10/13/2021

B
Alaska 10/13/2021

B
Nevada 10/13/2021

B
Arizona 2/12/2021

B
New Hampshire 10/13/2021

B
Arkansas 10/13/2021

B
New Jersey 2/12/2021

B
California 2/12/2021

B
New Mexico 10/13/2021

B
Colorado 2/12/2021

B
New York 2/22/2019

B
Connecticut 2/22/2019

B
North Carolina 2/12/2021

IA
Connecticut 9/16/2020

B
North Dakota 10/13/2021

B
Delaware 10/13/2021

B
Ohio 2/15/2021

B
District of Columbia 10/13/2021

B
Oklahoma 10/13/2021

B
Florida 2/22/2019

B
Oregon 10/13/2021

B
Georgia 2/12/2021

B
Pennsylvania 2/12/2021

B
Hawaii 10/13/2021

B
Puerto Rico 10/13/2021

B
Idaho 10/13/2021

B
Rhode Island 2/22/2019

B
Illinois 2/12/2021

B
South Carolina 10/13/2021

B
Indiana 2/12/2021

B
South Dakota 10/13/2021

B
Iowa 10/13/2021

B
Tennessee 10/13/2021

B
Kansas 10/13/2021

B
Texas 2/12/2021

B
Kentucky 10/13/2021

IA
Texas 3/12/2021

B
Louisiana 10/13/2021

B
Utah 10/13/2021

B
Maine 10/13/2021

B
Vermont 10/13/2021

B
Maryland 2/12/2021

B
Virgin Islands 10/13/2021

B
Massachusetts 2/22/2019

B
Virginia 2/12/2021

B
Michigan 2/12/2021

B
Washington 2/12/2021

B
Minnesota 2/12/2021

B
West Virginia 10/13/2021

B
Mississippi 10/13/2021

B
Wisconsin 2/12/2021

B
Missouri 2/12/2021

B
Wyoming 10/13/2021

B
Montana 10/13/2021

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)
ONE CENTURY TOWER 265 CHURCH STREET, NEW HAVEN, CT 06510
Registered with this firm since 9/16/2020

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
SHELTON, CT
Registered with this firm since 2/22/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/23/2018 - 01/30/2019 PRUCO SECURITIES, LLC. (CRD#:5685) SHELTON, CT
B
07/13/2017 - 04/16/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW HAVEN, CT
B
01/23/2017 - 04/28/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
08/10/2016 - 09/30/2016 NATIONAL SECURITIES CORPORATION (CRD#:7569) NEW YORK, NY
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.