Lucy Ann Marie Sowers

CRD 4514881 · Fidelity Brokerage Services LLC · Sarasota, FL

IA RegisteredBroker

Also appears in the source record as: Lucy Ann Marie Bartlett; Lucy Ann Marie Checkan; Lucy Ann Sowers; Lucy Sowers

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (15): California · Florida · Illinois · Indiana · Massachusetts · Michigan · Minnesota · Mississippi · Nevada · New Jersey · New York · Ohio · Pennsylvania · Tennessee · Texas
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (15)

From the source registration record · current first

Strategic Advisers LLCCurrent
Bradenton, FL · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Bradenton, FL · BD capacity

Oct 28, 2022 → present
Fidelity Brokerage Services LLCCurrent
Sarasota, FL · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Nov 14, 2022 → Mar 31, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 31, 2020 → Sep 26, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Jan 31, 2020 → Sep 26, 2022
Santander Securities LLC
BD capacity

Jan 16, 2018 → Feb 3, 2020
Santander Securities
IA capacity

Jan 16, 2018 → Feb 3, 2020
Citizens Securities, Inc.
BD capacity

Jun 11, 2012 → Jan 4, 2018
Citizens Securities, Inc.
IA capacity

Jun 11, 2012 → Jan 4, 2018
Pnc Investments
IA capacity

Jun 24, 2008 → May 21, 2012
Pnc Investments
BD capacity

Jun 6, 2008 → May 21, 2012
Primevest Financial Services, Inc.
BD capacity

Dec 4, 2007 → May 16, 2008
Financial Network Investment Corporation
BD capacity

May 1, 2003 → Dec 7, 2007
T.H.E. Financial Group, Ltd
BD capacity

Apr 29, 2002 → May 1, 2003

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4514881 ↗ FINRA BrokerCheck record for CRD 4514881 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.