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JM

John Mcneil

FIDELITY BROKERAGE SERVICES
SMITHFIELD, RI
·CRD# 1477631·40 years experience

Professional Summary

John Mcneil, who also goes by John M Mcneil, John Maddison Mcneil, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island. John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John M Mcneil, John Maddison Mcneil

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
900 Salem Street, Smithfield, RI 02917
December 22, 2022 - Present
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Rockville, MD
December 13, 2018 - December 5, 2022
I-BANKERS DIRECT, LLC·CRD# 167533
BD
Boca Raton, FL
November 8, 2018 - January 7, 2019
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Columbia, MD
May 31, 2016 - November 9, 2018
DAWSON JAMES SECURITIES, INC.·CRD# 130645
BD
Columbia, MD
January 2, 2014 - June 1, 2016
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Baltimore, MD
August 2, 2004 - January 10, 2014
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
San Diego, CA
December 15, 1994 - August 4, 2004
FIRST AFFILIATED SECURITIES·CRD# 23737
BD
La Jolla, CA
May 29, 1990 - August 29, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
March 31, 1989 - June 8, 1990
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
January 2, 1987 - April 8, 1989
MICHELIN AND COMPANY, INC.·CRD# 14447
BD
August 14, 1986 - January 2, 1987
THE STUART-JAMES COMPANY, INCORPORATED·CRD# 11691
BD
May 8, 1986 - August 19, 1986

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER—
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
KRUGMAN, JOSHUA DHEAD OF BROKERAGE PRODUCT & OFFERINGS4461267
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL—

Disclosures

Regulatory Event

24

Arbitration

129

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(12/22/2022)
RR
Alaska
(12/22/2022)
RR
Arizona
(12/22/2022)
RR
Arkansas
(12/22/2022)
RR
California
(12/22/2022)
RR
Colorado
(12/22/2022)
RR
Connecticut
(12/22/2022)
RR
Delaware
(12/22/2022)
RR
District of Columbia
(12/22/2022)
RR
Florida
(12/22/2022)
RR
Georgia
(12/22/2022)
RR
Hawaii
(12/22/2022)
RR
Idaho
(12/22/2022)
RR
Illinois
(12/22/2022)
RR
Indiana
(12/22/2022)
RR
Iowa
(12/22/2022)
RR
Kansas
(12/22/2022)
RR
Kentucky
(12/22/2022)
RR
Louisiana
(12/22/2022)
RR
Maine
(12/22/2022)
RR
Maryland
(12/22/2022)
RR
Massachusetts
(12/22/2022)
RR
Michigan
(12/22/2022)
RR
Minnesota
(12/22/2022)
RR
Mississippi
(12/22/2022)
RR
Missouri
(12/22/2022)
RR
Montana
(12/22/2022)
RR
Nebraska
(12/22/2022)
RR
Nevada
(12/22/2022)
RR
New Hampshire
(12/22/2022)
RR
New Jersey
(12/22/2022)
RR
New Mexico
(12/22/2022)
RR
New York
(12/22/2022)
RR
North Carolina
(1/4/2023)
RR
North Dakota
(12/22/2022)
RR
Ohio
(1/3/2023)
RR
Oklahoma
(12/22/2022)
RR
Oregon
(12/22/2022)
RR
Pennsylvania
(12/22/2022)
RR
Puerto Rico
(12/22/2022)
RR
Rhode Island
(12/22/2022)
RR
South Carolina
(12/22/2022)
RR
South Dakota
(12/22/2022)
RR
Tennessee
(12/22/2022)
RR
Texas
(12/22/2022)
RR
Utah
(12/22/2022)
RR
Vermont
(12/22/2022)
RR
Virgin Islands
(2/2/2023)
RR
Virginia
(12/22/2022)
RR
Washington
(12/22/2022)
RR
West Virginia
(12/22/2022)
RR
Wisconsin
(12/22/2022)
RR
Wyoming
(12/22/2022)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2000About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1986About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Oct 1990About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jan 1989About the Series 24 exam
FINRA
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view John Mcneil's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JM
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