RB
Robert E. Backof
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 1850758
RB
Professional summary
Robert E. Backof, who also goes by Robert E Backof, Robert Edward Backof, Robert Backof, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 8 firms and has passed the Series 66, Series 63, Series 62, Series 82TO, Series 57TO, SIE, Series 55, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert E Backof | Robert Edward Backof | Robert Backof
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 Robert E. Backof'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
June 28, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
February 10, 2020 - April 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
December 2, 2019 - April 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
Past
May 1, 2007 - October 7, 2019
SCARSDALE EQUITIES LLC
BD
CRD#: 134602
NEW YORK, NY
Past
January 23, 2007 - May 18, 2007
LEEB BROKERAGE SERVICES, INC.
BD
CRD#: 46195
NEW YORK, NY
Past
July 5, 2005 - March 20, 2006
KABRIK TRADING LLC
BD
CRD#: 104460
NEW YORK, NY
Past
August 4, 1998 - June 14, 2005
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
June 15, 1995 - August 7, 1998
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 19, 1988 - January 10, 1995
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
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(6/30/2021)
RR
Alaska(6/30/2021)
RR
Arizona(6/30/2021)
RR
Arkansas(6/30/2021)
RR
California(6/30/2021)
RR
Colorado(6/30/2021)
RR
Connecticut(6/30/2021)
RR
Delaware(6/30/2021)
RR
District of Columbia(6/30/2021)
RR
Florida(6/30/2021)
RR
Georgia(6/30/2021)
RR
Hawaii(6/30/2021)
RR
Idaho(6/30/2021)
RR
Illinois(6/30/2021)
RR
Indiana(6/30/2021)
RR
Iowa(6/30/2021)
RR
Kansas(6/30/2021)
RR
Kentucky(6/30/2021)
RR
Louisiana(6/30/2021)
RR
Maine(6/30/2021)
RR
Maryland(6/30/2021)
RR
Massachusetts(6/30/2021)
RR
Michigan(6/30/2021)
RR
Minnesota(6/30/2021)
RR
Mississippi(6/30/2021)
RR
Missouri(6/30/2021)
RR
Montana(6/30/2021)
RR
Nebraska(6/30/2021)
RR
Nevada(6/30/2021)
RR
New Hampshire(6/30/2021)
RR
New Jersey(6/28/2021)
RR
New Mexico(6/30/2021)
RR
New York(6/30/2021)
RR
North Carolina(6/30/2021)
RR
North Dakota(6/30/2021)
RR
Ohio(7/1/2021)
RR
Oklahoma(6/30/2021)
RR
Oregon(6/30/2021)
RR
Pennsylvania(6/30/2021)
RR
Puerto Rico(6/30/2021)
RR
Rhode Island(6/30/2021)
RR
South Carolina(6/30/2021)
RR
South Dakota(6/30/2021)
RR
Tennessee(6/30/2021)
RR
Texas(6/30/2021)
RR
Utah(6/30/2021)
RR
Vermont(6/30/2021)
RR
Virgin Islands(6/30/2021)
RR
Virginia(6/30/2021)
RR
Washington(6/30/2021)
RR
West Virginia(6/30/2021)
RR
Wisconsin(6/30/2021)
RR
Wyoming(6/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 5
Date: 11/13/1989
Interest Rate Options ExaminationGeneral Industry/Product 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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