ES
Elliot B. Spieler
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
Some features on this profile are disabled
CRD#: 1730862
ES
Professional summary
Elliot B Spieler, who also goes by Elliot Bruce Spieler, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Elliot is registered as a RR (Registered Representative) and started their career in finance in 1990. Elliot has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Elliot Bruce Spieler
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 Elliot B Spieler'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 25, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
April 8, 2015 - April 22, 2015
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
FAIRFIELD, OH
Past
May 2, 2008 - April 4, 2014
ACCESS FINANCIAL GROUP, INC.
BD
CRD#: 33065
DAYTON, OH
Past
September 2, 1999 - June 13, 2007
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
January 23, 1990 - August 23, 1999
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
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(1/8/2016)
RR
Alaska(1/8/2016)
RR
Arizona(12/8/2015)
RR
Arkansas(1/8/2016)
RR
California(12/8/2015)
RR
Colorado(12/8/2015)
RR
Connecticut(12/8/2015)
RR
Delaware(1/8/2016)
RR
District of Columbia(1/8/2016)
RR
Florida(12/8/2015)
RR
Georgia(12/8/2015)
RR
Hawaii(1/8/2016)
RR
Idaho(1/8/2016)
RR
Illinois(12/8/2015)
RR
Indiana(12/8/2015)
RR
Iowa(1/8/2016)
RR
Kansas(1/8/2016)
RR
Kentucky(11/25/2015)
RR
Louisiana(1/8/2016)
RR
Maine(1/8/2016)
RR
Maryland(12/8/2015)
RR
Massachusetts(12/8/2015)
RR
Michigan(12/8/2015)
RR
Minnesota(12/8/2015)
RR
Mississippi(1/8/2016)
RR
Missouri(12/8/2015)
RR
Montana(1/8/2016)
RR
Nebraska(1/8/2016)
RR
Nevada(1/8/2016)
RR
New Hampshire(1/8/2016)
RR
New Jersey(12/8/2015)
RR
New Mexico(1/8/2016)
RR
New York(12/8/2015)
RR
North Carolina(12/9/2015)
RR
North Dakota(1/12/2021)
RR
Ohio(12/9/2015)
RR
Oklahoma(1/8/2016)
RR
Oregon(1/8/2016)
RR
Pennsylvania(12/8/2015)
RR
Puerto Rico(1/12/2021)
RR
Rhode Island(1/8/2016)
RR
South Carolina(1/8/2016)
RR
South Dakota(1/12/2021)
RR
Tennessee(1/8/2016)
RR
Texas(12/8/2015)
RR
Utah(1/8/2016)
RR
Vermont(1/8/2016)
RR
Virgin Islands(1/12/2021)
RR
Virginia(12/8/2015)
RR
Washington(12/8/2015)
RR
West Virginia(1/8/2016)
RR
Wisconsin(12/8/2015)
RR
Wyoming(1/8/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
