DM
Dwyatt W. Mcclain
FIDELITY BROKERAGE SERVICES LLC
Durham, NC 27709
Some features on this profile are disabled
CRD#: 1921893
DM
Professional summary
Dwyatt William Mcclain, who also goes by Dwyatt William Mcclain, Dwyatt Mcclain, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.
Dwyatt is registered as a RR (Registered Representative) and started their career in finance in 1993. Dwyatt has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dwyatt William Mcclain | Dwyatt Mcclain
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 Dwyatt William Mcclain'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 30, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709BD
CRD#: 7784
Durham, NC
Past
July 21, 2011 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
August 9, 2007 - July 21, 2011
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
CHARLOTTE, NC
Past
October 19, 2006 - August 13, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
April 6, 2004 - August 1, 2005
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
November 7, 2002 - March 22, 2004
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
HARTFORD, CT
Past
October 25, 2002 - March 22, 2004
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
July 6, 2000 - April 2, 2001
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 23, 1998 - June 23, 2000
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
November 13, 1996 - October 2, 1998
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Past
June 23, 1993 - November 12, 1996
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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(11/30/2021)
RR
Alaska(11/30/2021)
RR
Arizona(11/30/2021)
RR
Arkansas(11/30/2021)
RR
California(11/30/2021)
RR
Colorado(11/30/2021)
RR
Connecticut(11/30/2021)
RR
Delaware(11/30/2021)
RR
District of Columbia(11/30/2021)
RR
Florida(11/30/2021)
RR
Georgia(11/30/2021)
RR
Hawaii(11/30/2021)
RR
Idaho(11/30/2021)
RR
Illinois(11/30/2021)
RR
Indiana(11/30/2021)
RR
Iowa(11/30/2021)
RR
Kansas(11/30/2021)
RR
Kentucky(11/30/2021)
RR
Louisiana(11/30/2021)
RR
Maine(11/30/2021)
RR
Maryland(11/30/2021)
RR
Massachusetts(11/30/2021)
RR
Michigan(11/30/2021)
RR
Minnesota(11/30/2021)
RR
Mississippi(11/30/2021)
RR
Missouri(11/30/2021)
RR
Montana(11/30/2021)
RR
Nebraska(11/30/2021)
RR
Nevada(11/30/2021)
RR
New Hampshire(11/30/2021)
RR
New Jersey(11/30/2021)
RR
New Mexico(11/30/2021)
RR
New York(11/30/2021)
RR
North Carolina(11/30/2021)
RR
North Dakota(11/30/2021)
RR
Ohio(11/30/2021)
RR
Oklahoma(11/30/2021)
RR
Oregon(11/30/2021)
RR
Pennsylvania(11/30/2021)
RR
Puerto Rico(11/30/2021)
RR
Rhode Island(11/30/2021)
RR
South Carolina(11/30/2021)
RR
South Dakota(11/30/2021)
RR
Tennessee(11/30/2021)
RR
Texas(11/30/2021)
RR
Utah(11/30/2021)
RR
Vermont(11/30/2021)
RR
Virgin Islands(11/30/2021)
RR
Virginia(11/30/2021)
RR
Washington(11/30/2021)
RR
West Virginia(11/30/2021)
RR
Wisconsin(11/30/2021)
RR
Wyoming(11/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 7784Durham, NC 27709TRUST BUT VERIFY
Monitor Dwyatt Mcclain
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
