RP
Robert J. Peet
FIDELITY BROKERAGE SERVICES LLC
Greenwood Village, CO 80111-4932
Some features on this profile are disabled
CRD#: 1105141
RP
Professional summary
Robert J. Peet, who also goes by Bob Peet, Robert Joseph Peet, Robert J Peet, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Peet | Robert Joseph Peet | Robert J Peet
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 Robert J. Peet'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
July 15, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932BD
CRD#: 7784
Greenwood Village, CO
Past
May 31, 2016 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOS ANGELES, CA
Past
May 31, 2016 - May 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOS ANGELES, CA
Past
December 17, 2015 - June 10, 2016
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
Signal Hill, CA
Past
January 17, 2003 - June 10, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
LOS ANGELES, CA
Past
October 25, 1990 - January 17, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
March 31, 1987 - October 25, 1990
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
March 22, 1983 - February 27, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
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(7/15/2022)
RR
Alaska(7/15/2022)
RR
Arizona(7/15/2022)
RR
Arkansas(7/15/2022)
RR
California(7/15/2022)
RR
Colorado(7/15/2022)
RR
Connecticut(7/15/2022)
RR
Delaware(7/15/2022)
RR
District of Columbia(7/15/2022)
RR
Florida(7/15/2022)
RR
Georgia(7/15/2022)
RR
Hawaii(7/15/2022)
RR
Idaho(7/15/2022)
RR
Illinois(7/15/2022)
RR
Indiana(7/15/2022)
RR
Iowa(7/15/2022)
RR
Kansas(7/15/2022)
RR
Kentucky(7/15/2022)
RR
Louisiana(7/15/2022)
RR
Maine(7/15/2022)
RR
Maryland(7/15/2022)
RR
Massachusetts(7/15/2022)
RR
Michigan(7/15/2022)
RR
Minnesota(7/15/2022)
RR
Mississippi(7/15/2022)
RR
Missouri(7/15/2022)
RR
Montana(7/15/2022)
RR
Nebraska(7/15/2022)
RR
Nevada(7/15/2022)
RR
New Hampshire(7/15/2022)
RR
New Jersey(7/15/2022)
RR
New Mexico(7/15/2022)
RR
New York(7/15/2022)
RR
North Carolina(7/15/2022)
RR
North Dakota(7/15/2022)
RR
Ohio(7/16/2022)
RR
Oklahoma(7/15/2022)
RR
Oregon(7/15/2022)
RR
Pennsylvania(7/15/2022)
RR
Puerto Rico(7/15/2022)
RR
Rhode Island(7/15/2022)
RR
South Carolina(7/15/2022)
RR
South Dakota(7/15/2022)
RR
Tennessee(7/15/2022)
RR
Texas(7/15/2022)
RR
Utah(7/15/2022)
RR
Vermont(7/15/2022)
RR
Virgin Islands(7/15/2022)
RR
Virginia(7/15/2022)
RR
Washington(7/15/2022)
RR
West Virginia(7/15/2022)
RR
Wisconsin(7/15/2022)
RR
Wyoming(7/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/2/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory 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.
