PC
Paul A. Caspers
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 1441095
PC
Professional summary
Paul Alexander Caspers, CFP®, ChFC®, CLU®, who also goes by Paul Alexander Caspers, Paul Caspers, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Alexander Caspers | Paul Caspers
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.
Vida Bella Type of business: Womes Clothing Store The Woodlands, TX Start date: 5/1/2015 Co-Owner Hours per week: 0 Hours during trading: 0 Store is closing the end of March 2020
CRS (Client Relationship Summary) - BD
Click below to view Paul Alexander Caspers'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®
CFP®
Start date: 2021
Experience
Current
July 31, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
July 8, 2022 - August 10, 2023
N.I.S. FINANCIAL SERVICES, INC.
BD
CRD#: 5361
KANSAS CITY, MO
Past
May 13, 2020 - April 14, 2022
EDWARD JONES
RIA
CRD#: 250
Wesley Chapel, FL
Past
March 23, 2020 - April 14, 2022
EDWARD JONES
BD
CRD#: 250
Wesley Chapel, FL
Past
June 28, 2013 - December 9, 2019
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
HOUSTON, TX
Past
April 24, 2013 - June 28, 2013
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
April 6, 1992 - June 13, 2012
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
September 21, 1989 - March 24, 1992
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
April 5, 1989 - August 12, 1989
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
September 4, 1987 - December 31, 1988
CONTINENTAL EQUITIES CORPORATION OF AMERICA
BD
CRD#: 16383
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(8/6/2025)
RR
Alaska(8/7/2025)
RR
Arizona(8/14/2025)
RR
Arkansas(8/13/2025)
RR
California(8/6/2025)
RR
Colorado(8/7/2025)
RR
Connecticut(8/6/2025)
RR
Delaware(8/7/2025)
RR
District of Columbia(8/11/2025)
RR
Florida(7/31/2025)
RR
Georgia(8/7/2025)
RR
Hawaii(8/7/2025)
RR
Idaho(8/6/2025)
RR
Illinois(8/6/2025)
RR
Indiana(8/7/2025)
RR
Iowa(8/6/2025)
RR
Kansas(8/6/2025)
RR
Kentucky(8/6/2025)
RR
Louisiana(8/6/2025)
RR
Maine(8/6/2025)
RR
Maryland(8/8/2025)
RR
Massachusetts(8/6/2025)
RR
Michigan(8/6/2025)
RR
Minnesota(8/6/2025)
RR
Mississippi(8/6/2025)
RR
Missouri(8/6/2025)
RR
Montana(8/6/2025)
RR
Nebraska(8/6/2025)
RR
Nevada(8/6/2025)
RR
New Hampshire(8/11/2025)
RR
New Jersey(8/6/2025)
RR
New Mexico(8/6/2025)
RR
New York(8/6/2025)
RR
North Carolina(8/6/2025)
RR
North Dakota(8/6/2025)
RR
Ohio(8/7/2025)
RR
Oklahoma(8/6/2025)
RR
Oregon(8/7/2025)
RR
Pennsylvania(8/6/2025)
RR
Puerto Rico(8/26/2025)
RR
Rhode Island(8/7/2025)
RR
South Carolina(8/6/2025)
RR
South Dakota(8/6/2025)
RR
Tennessee(8/7/2025)
RR
Texas(8/6/2025)
RR
Utah(8/6/2025)
RR
Vermont(8/6/2025)
RR
Virgin Islands(8/6/2025)
RR
Virginia(8/7/2025)
RR
Washington(8/6/2025)
RR
West Virginia(8/11/2025)
RR
Wisconsin(8/6/2025)
RR
Wyoming(8/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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