DB
David B. Bernstein
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 1369162
DB
Professional summary
David Barry Bernstein, who also goes by David Barry Bernstein, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Barry Bernstein
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 David Barry Bernstein'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 13, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
December 4, 2020 - April 5, 2022
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
June 8, 2020 - September 25, 2020
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Phoenix, AZ
Past
October 14, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
March 5, 2018 - July 29, 2019
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
October 18, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 22, 1986 - May 10, 1999
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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(7/13/2022)
RR
Alaska(7/13/2022)
RR
Arizona(7/15/2022)
RR
Arkansas(7/13/2022)
RR
California(7/13/2022)
RR
Colorado(7/13/2022)
RR
Connecticut(7/13/2022)
RR
Delaware(7/13/2022)
RR
District of Columbia(7/13/2022)
RR
Florida(7/13/2022)
RR
Georgia(7/13/2022)
RR
Hawaii(7/13/2022)
RR
Idaho(7/13/2022)
RR
Illinois(7/13/2022)
RR
Indiana(7/13/2022)
RR
Iowa(7/13/2022)
RR
Kansas(7/13/2022)
RR
Kentucky(7/13/2022)
RR
Louisiana(7/13/2022)
RR
Maine(7/13/2022)
RR
Maryland(7/13/2022)
RR
Massachusetts(7/13/2022)
RR
Michigan(7/13/2022)
RR
Minnesota(7/13/2022)
RR
Mississippi(7/13/2022)
RR
Missouri(7/13/2022)
RR
Montana(7/13/2022)
RR
Nebraska(7/13/2022)
RR
Nevada(7/13/2022)
RR
New Hampshire(7/13/2022)
RR
New Jersey(7/13/2022)
RR
New Mexico(7/13/2022)
RR
New York(7/13/2022)
RR
North Carolina(7/13/2022)
RR
North Dakota(7/13/2022)
RR
Ohio(7/13/2022)
RR
Oklahoma(7/13/2022)
RR
Oregon(7/13/2022)
RR
Pennsylvania(7/13/2022)
RR
Puerto Rico(7/13/2022)
RR
Rhode Island(7/13/2022)
RR
South Carolina(7/13/2022)
RR
South Dakota(7/13/2022)
RR
Tennessee(7/13/2022)
RR
Texas(7/13/2022)
RR
Utah(7/13/2022)
RR
Vermont(7/13/2022)
RR
Virgin Islands(7/13/2022)
RR
Virginia(7/13/2022)
RR
Washington(7/13/2022)
RR
West Virginia(7/13/2022)
RR
Wisconsin(7/13/2022)
RR
Wyoming(7/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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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