MG
Malcolm D. Gillan
FIDELITY BROKERAGE SERVICES LLC
Garden City, NY 11530
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CRD#: 1371967
MG
Professional summary
Malcolm Duff Gillan is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Garden City, New York.
Malcolm is registered as a RR (Registered Representative) and started their career in finance in 1985. Malcolm has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Malcolm Duff Gillan'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
November 5, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1130 Franklin Avenue, Garden City, NY 11530BD
CRD#: 7784
Garden City, NY
Past
September 22, 2017 - August 6, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WOODBURY, NY
Past
July 27, 2004 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
May 20, 1987 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 25, 1986 - March 5, 1987
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
August 5, 1985 - February 3, 1986
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
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
Arizona(2/12/2021)
RR
California(2/12/2021)
RR
Colorado(2/12/2021)
RR
Connecticut(11/5/2018)
RR
Florida(11/5/2018)
RR
Georgia(2/12/2021)
RR
Illinois(2/12/2021)
RR
Indiana(2/12/2021)
RR
Maryland(2/12/2021)
RR
Massachusetts(2/12/2021)
RR
Michigan(2/12/2021)
RR
Minnesota(2/12/2021)
RR
Missouri(2/12/2021)
RR
New Jersey(11/5/2018)
RR
New York(11/5/2018)
RR
North Carolina(2/12/2021)
RR
Ohio(2/15/2021)
RR
Pennsylvania(11/5/2018)
RR
Texas(2/12/2021)
RR
Virginia(2/12/2021)
RR
Washington(2/12/2021)
RR
Wisconsin(2/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/1998
Limited Representative-Equity Trader ExamGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
