Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
THACARRA Efea FERRER
EFA FERRER, THACARRA E FERRER, THACARRA EFEA FERRER, THACARRA FERRER, THACARRA EFEA FRASIER
CRD#: 6703822
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 LOS ANGELES, CA
Registration History
201620172018201920202021202220232024202520262 FIRMS2017 - 2017 (<1 year)2 FIRMS2019 - 2023 (3 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2023 - Present (2 years)BEDWARD JONES (CRD# 250)2016 - 2017 (<1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2023 - 2025 (2 years)
License(s)

State Registrations

B
Alabama 3/23/2023
B
Nebraska 1/5/2025
B
Alaska 3/23/2023
B
Nevada 3/23/2023
B
Arizona 3/23/2023
B
New Hampshire 3/23/2023
B
Arkansas 3/23/2023
B
New Jersey 3/23/2023
B
California 2/27/2023
B
New Mexico 3/23/2023
IA
California 3/31/2025
B
New York 3/23/2023
B
Colorado 3/23/2023
B
North Carolina 3/23/2023
B
Connecticut 3/23/2023
B
North Dakota 1/5/2025
B
Delaware 1/5/2025
B
Ohio 3/24/2023
B
District of Columbia 3/23/2023
B
Oklahoma 3/23/2023
B
Florida 3/23/2023
B
Oregon 3/23/2023
B
Georgia 3/23/2023
B
Pennsylvania 3/23/2023
B
Hawaii 3/23/2023
B
Puerto Rico 1/5/2025
B
Idaho 3/23/2023
B
Rhode Island 3/23/2023
B
Illinois 3/23/2023
B
South Carolina 1/5/2025
B
Indiana 3/23/2023
B
South Dakota 3/23/2023
B
Iowa 1/5/2025
B
Tennessee 3/23/2023
B
Kansas 1/5/2025
B
Texas 3/23/2023
B
Kentucky 3/23/2023
IA
Texas 3/31/2025
B
Louisiana 1/5/2025
B
Utah 3/23/2023
B
Maine 1/5/2025
B
Vermont 3/23/2023
B
Maryland 3/23/2023
B
Virgin Islands 1/5/2025
B
Massachusetts 3/23/2023
B
Virginia 1/5/2025
B
Michigan 1/5/2025
B
Washington 3/23/2023
B
Minnesota 3/23/2023
B
West Virginia 1/5/2025
B
Mississippi 3/23/2023
B
Wisconsin 1/5/2025
B
Missouri 3/23/2023
B
Wyoming 3/23/2023
B
Montana 1/5/2025

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
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
LOS ANGELES, CA
12201 SEAL BEACH BLVD, SEAL BEACH, CA 90740-2634
Registered with this firm since 2/27/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/10/2023 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PASADENA, CA
IA
 04/30/2019 - 02/16/2023 MORGAN STANLEY (CRD#:149777) Pasadena, CA
B
 05/07/2019 - 02/16/2023 MORGAN STANLEY (CRD#:149777) Pasadena, CA
B
 08/25/2017 - 09/15/2017 NYLIFE SECURITIES LLC (CRD#:5167) GLENDALE, CA
IA
 01/20/2017 - 06/02/2017 EDWARD JONES (CRD#:250) LOS ANGELES, CA
B
 11/01/2016 - 06/02/2017 EDWARD JONES (CRD#:250) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.