TC
Thomas Curialle
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 1073553
TC
Professional summary
Thomas Curialle, who also goes by Tom Curialle, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Curialle
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 Thomas Curialle'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
June 8, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
September 24, 2021 - August 2, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MERRIMACK, NH
Past
March 27, 2019 - September 11, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
Past
September 7, 2016 - March 31, 2017
LPS CAPITAL LLC
BD
CRD#: 155246
NEW YORK, NY
Past
June 18, 2008 - October 13, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 28, 2003 - November 30, 2007
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 8, 1993 - October 30, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
June 26, 1991 - July 29, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
BD
CRD#: 19418
NEW YORK, NY
Past
June 26, 1987 - December 6, 1990
FIRST INTERREGIONAL EQUITY CORP.
BD
CRD#: 7486
MILBURN, NJ
Past
October 25, 1984 - September 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
March 23, 1982 - September 7, 1984
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
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(7/9/2021)
RR
Alaska(7/9/2021)
RR
Arizona(7/19/2021)
RR
Arkansas(7/9/2021)
RR
California(7/8/2021)
RR
Colorado(7/9/2021)
RR
Connecticut(7/8/2021)
RR
Delaware(7/9/2021)
RR
District of Columbia(7/9/2021)
RR
Florida(7/9/2021)
RR
Georgia(7/9/2021)
RR
Hawaii(7/9/2021)
RR
Idaho(7/9/2021)
RR
Illinois(7/16/2021)
RR
Indiana(7/8/2021)
RR
Iowa(7/14/2021)
RR
Kansas(7/9/2021)
RR
Kentucky(7/12/2021)
RR
Louisiana(7/12/2021)
RR
Maine(7/9/2021)
RR
Maryland(7/9/2021)
RR
Massachusetts(7/9/2021)
RR
Michigan(7/13/2021)
RR
Minnesota(7/9/2021)
RR
Mississippi(7/9/2021)
RR
Missouri(7/9/2021)
RR
Montana(7/9/2021)
RR
Nebraska(7/8/2021)
RR
Nevada(7/16/2021)
RR
New Hampshire(7/9/2021)
RR
New Jersey(7/9/2021)
RR
New Mexico(7/9/2021)
RR
New York(6/15/2021)
RR
North Carolina(7/9/2021)
RR
North Dakota(7/12/2021)
RR
Ohio(7/9/2021)
RR
Oklahoma(7/9/2021)
RR
Oregon(7/13/2021)
RR
Pennsylvania(7/9/2021)
RR
Puerto Rico(7/9/2021)
RR
Rhode Island(7/12/2021)
RR
South Carolina(7/12/2021)
RR
South Dakota(8/2/2021)
RR
Tennessee(7/9/2021)
RR
Texas(7/9/2021)
RR
Utah(7/8/2021)
RR
Vermont(7/9/2021)
RR
Virgin Islands(7/12/2021)
RR
Virginia(7/10/2021)
RR
Washington(7/8/2021)
RR
West Virginia(7/20/2021)
RR
Wisconsin(7/9/2021)
RR
Wyoming(7/16/2021)
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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