MG
Morihiko Goto
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 1302159
MG
Professional summary
Morihiko Goto, who also goes by Morihiko Goto, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Morihiko is registered as a RR (Registered Representative) and started their career in finance in 1984. Morihiko has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 3, Series 5, Series 15, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Morihiko Goto
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.
[ Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered products; 1963 NJ 34 Bldg B Ste 201 Wall NJ 07719; start 04/2022; Commissions; 1 hour per month, 1 hour during securities trading hours; Insurance Related]
CRS (Client Relationship Summary) - BD
Click below to view Morihiko Goto'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
April 30, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
November 25, 2022 - January 10, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WALL, NJ
Past
June 1, 2022 - January 2, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WALL, NJ
Past
July 12, 2019 - February 7, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WALL TOWNSHIP, NJ
Past
May 20, 2019 - February 7, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALL TOWNSHIP, NJ
Past
February 18, 2011 - May 26, 2015
GOTO CAPITAL MARKETS, INC.
BD
CRD#: 153842
NEW YORK, NY
Past
October 10, 2007 - July 2, 2009
UTENDAHL CAPITAL PARTNERS, L.P.
BD
CRD#: 30115
NEW YORK, NY
Past
October 10, 2007 - July 2, 2009
UTENDAHL CAPITAL GROUP, LLC
BD
CRD#: 113617
NEW YORK, NY
Past
June 4, 1992 - October 12, 2007
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
GREENWICH, CT
Past
June 26, 1991 - March 17, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 25, 1984 - July 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(5/6/2025)
RR
Alaska(5/13/2025)
RR
Arizona(5/8/2025)
RR
Arkansas(5/19/2025)
RR
California(5/6/2025)
RR
Colorado(5/7/2025)
RR
Connecticut(5/6/2025)
RR
Delaware(5/13/2025)
RR
District of Columbia(5/6/2025)
RR
Florida(5/7/2025)
RR
Georgia(5/7/2025)
RR
Hawaii(5/7/2025)
RR
Idaho(5/6/2025)
RR
Illinois(5/7/2025)
RR
Indiana(5/6/2025)
RR
Iowa(5/9/2025)
RR
Kansas(5/6/2025)
RR
Kentucky(5/6/2025)
RR
Louisiana(5/6/2025)
RR
Maine(5/6/2025)
RR
Maryland(5/12/2025)
RR
Massachusetts(5/21/2025)
RR
Michigan(5/8/2025)
RR
Minnesota(5/6/2025)
RR
Mississippi(5/6/2025)
RR
Missouri(5/6/2025)
RR
Montana(5/7/2025)
RR
Nebraska(5/6/2025)
RR
Nevada(5/6/2025)
RR
New Hampshire(5/7/2025)
RR
New Jersey(4/30/2025)
RR
New Mexico(5/6/2025)
RR
New York(5/18/2025)
RR
North Carolina(5/6/2025)
RR
North Dakota(5/12/2025)
RR
Ohio(5/6/2025)
RR
Oklahoma(5/6/2025)
RR
Oregon(5/8/2025)
RR
Pennsylvania(5/6/2025)
RR
Puerto Rico(6/2/2025)
RR
Rhode Island(5/13/2025)
RR
South Carolina(5/6/2025)
RR
South Dakota(5/6/2025)
RR
Tennessee(5/7/2025)
RR
Texas(5/6/2025)
RR
Utah(5/7/2025)
RR
Vermont(5/6/2025)
RR
Virgin Islands(5/8/2025)
RR
Virginia(5/7/2025)
RR
Washington(5/13/2025)
RR
West Virginia(5/14/2025)
RR
Wisconsin(5/13/2025)
RR
Wyoming(5/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/20/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/6/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 9/28/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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