Joseph F. Ferencik
Professional summary
Joseph Francis Ferencik, who also goes by Joseph Francis Feencik, Joseph F Ferencik, Joseph Ferencik, Joseph Francis Ferencik Jr, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Roslyn, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 14, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Francis Ferencik's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1075 Northern Blvd, Roslyn, NY 11576March 7, 1996 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1994 - November 29, 1995
WELLS FARGO CLEARING SERVICES, LLC
April 24, 1993 - July 5, 1994
MORGAN STANLEY DW INC.
April 24, 1990 - April 28, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 24, 1990 - April 28, 1993
EQUITABLE ADVISORS, LLC
April 27, 1985 - June 24, 1985
WOODMERE SECURITIES, INC.
February 23, 1984 - January 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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
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