PA
Peter D. Allis
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 1072796
PA
Professional summary
Peter D. Allis, who also goes by Peter Dunne Allis, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1982. Peter has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter Dunne Allis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Peter D. Allis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 9, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
June 1, 2009 - December 12, 2011
MORGAN STANLEY
RIA
CRD#: 149777
ENGLEWOOD, CO
Past
June 1, 2009 - December 12, 2011
MORGAN STANLEY
BD
CRD#: 149777
ENGLEWOOD, CO
Past
February 20, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ENGLEWOOD, CO
Past
February 20, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ENGLEWOOD, CO
Past
December 21, 2000 - March 4, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
December 21, 2000 - March 4, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DENVER, CO
Past
March 2, 1998 - January 19, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 24, 1982 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/16/2015)
RR
Alaska(4/9/2015)
RR
Arizona(4/24/2015)
RR
Arkansas(4/9/2015)
RR
California(4/9/2015)
RR
Colorado(3/10/2015)
RR
Connecticut(4/9/2015)
RR
Delaware(4/15/2015)
RR
District of Columbia(4/9/2015)
RR
Florida(4/9/2015)
RR
Georgia(4/27/2015)
RR
Hawaii(5/5/2015)
RR
Idaho(4/9/2015)
RR
Illinois(4/13/2015)
RR
Indiana(4/9/2015)
RR
Iowa(4/9/2015)
RR
Kansas(4/17/2015)
RR
Kentucky(4/13/2015)
RR
Louisiana(4/9/2015)
RR
Maine(4/10/2015)
RR
Maryland(4/9/2015)
RR
Massachusetts(4/9/2015)
RR
Michigan(4/9/2015)
RR
Minnesota(4/9/2015)
RR
Mississippi(4/17/2015)
RR
Missouri(4/9/2015)
RR
Montana(4/9/2015)
RR
Nebraska(4/9/2015)
RR
Nevada(4/21/2015)
RR
New Hampshire(4/10/2015)
RR
New Jersey(4/13/2015)
RR
New Mexico(4/9/2015)
RR
New York(4/13/2015)
RR
North Carolina(4/9/2015)
RR
North Dakota(11/10/2015)
RR
Ohio(4/9/2015)
RR
Oklahoma(4/13/2015)
RR
Oregon(5/12/2015)
RR
Pennsylvania(4/9/2015)
RR
Puerto Rico(11/13/2015)
RR
Rhode Island(4/9/2015)
RR
South Carolina(4/9/2015)
RR
South Dakota(11/11/2015)
RR
Tennessee(11/10/2015)
RR
Texas(4/9/2015)
RR
Utah(4/9/2015)
RR
Vermont(4/9/2015)
RR
Virgin Islands(11/10/2015)
RR
Virginia(4/13/2015)
RR
Washington(4/13/2015)
RR
West Virginia(4/14/2015)
RR
Wisconsin(4/9/2015)
RR
Wyoming(4/9/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
