Wesley Headrick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wesley Headrick, who also goes by Wesley John Headrick, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1988. Wesley had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - October 1, 2021
FIDELITY BROKERAGE SERVICES LLC
May 24, 2006 - October 1, 2021
NATIONAL FINANCIAL SERVICES LLC
May 27, 2004 - October 4, 2005
TRADESTAR INVESTMENTS,INC.
May 6, 2002 - December 14, 2005
FISERV INVESTOR SERVICES, INC.
September 1, 2001 - October 1, 2001
NF CLEARING, INC.
December 14, 1999 - September 1, 2001
FISERV CORRESPONDENT SERVICES, INC.
August 5, 1997 - November 12, 1999
JW GENESIS CLEARING CORP.
August 11, 1994 - August 18, 1995
MUTUAL SERVICE CORPORATION
March 6, 1992 - September 20, 1993
IDS LIFE INSURANCE COMPANY
March 6, 1992 - September 20, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 1988 - October 24, 1990
J. W. GANT & ASSOCIATES, INC.
May 25, 1988 - June 14, 1991
FITZGERALD, TALMAN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/21/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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.
