Paul Caspers
CFP®, ChFC®, CLU®Professional Summary
Paul Caspers, CFP®, ChFC®, CLU®, who also goes by Paul Alexander Caspers, Paul Caspers, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Paul Alexander Caspers, Paul Caspers
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CITIZENS SECURITIES, INC.
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Contact Information
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CITIZENS SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| 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
24Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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CITIZENS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1987About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1988About the Series 26 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Paul Caspers's CRS (Customer Relationship Summary).
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