DB
Dean Brierley
FIDELITY BROKERAGE SERVICES LLC
Salt Lake City, UT 84101
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CRD#: 1106421
DB
Professional summary
Dean Brierley, who also goes by Dean Robert Brierley, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1984. Dean has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dean Robert Brierley
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 Dean Brierley'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
October 5, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
August 1, 2017 - September 23, 2021
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
SAN FRANCISCO, CA
Past
September 20, 2006 - August 30, 2017
WELLS FARGO PRIME SERVICES, LLC
BD
CRD#: 133068
SAN FRANCISCO, CA
Past
September 26, 2002 - October 20, 2006
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
September 1, 1998 - July 25, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
November 3, 1993 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
BD
CRD#: 7730
SAN FRANCISCO, CA
Past
January 12, 1989 - October 19, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 5, 1984 - October 19, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 24, 1984 - November 19, 1984
WOODMAN, KIRKPATRICK & GILBREATH
BD
CRD#: 13187
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(10/5/2022)
RR
Alaska(10/5/2022)
RR
Arizona(10/5/2022)
RR
Arkansas(10/5/2022)
RR
California(10/5/2022)
RR
Colorado(10/5/2022)
RR
Connecticut(10/5/2022)
RR
Delaware(10/5/2022)
RR
District of Columbia(10/5/2022)
RR
Florida(10/5/2022)
RR
Georgia(10/5/2022)
RR
Hawaii(10/5/2022)
RR
Idaho(10/5/2022)
RR
Illinois(10/5/2022)
RR
Indiana(10/5/2022)
RR
Iowa(10/5/2022)
RR
Kansas(10/5/2022)
RR
Kentucky(10/5/2022)
RR
Louisiana(10/5/2022)
RR
Maine(10/5/2022)
RR
Maryland(10/5/2022)
RR
Massachusetts(10/5/2022)
RR
Michigan(10/5/2022)
RR
Minnesota(10/5/2022)
RR
Mississippi(10/5/2022)
RR
Missouri(10/5/2022)
RR
Montana(10/5/2022)
RR
Nebraska(10/5/2022)
RR
Nevada(10/5/2022)
RR
New Hampshire(10/5/2022)
RR
New Jersey(10/5/2022)
RR
New Mexico(10/5/2022)
RR
New York(10/5/2022)
RR
North Carolina(10/5/2022)
RR
North Dakota(10/5/2022)
RR
Ohio(10/5/2022)
RR
Oklahoma(10/5/2022)
RR
Oregon(10/5/2022)
RR
Pennsylvania(10/5/2022)
RR
Puerto Rico(10/5/2022)
RR
Rhode Island(10/5/2022)
RR
South Carolina(10/5/2022)
RR
South Dakota(10/5/2022)
RR
Tennessee(10/5/2022)
RR
Texas(10/5/2022)
RR
Utah(10/5/2022)
RR
Vermont(10/5/2022)
RR
Virgin Islands(10/5/2022)
RR
Virginia(10/5/2022)
RR
Washington(10/5/2022)
RR
West Virginia(10/5/2022)
RR
Wisconsin(10/5/2022)
RR
Wyoming(10/5/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/6/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamGeneral 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#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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