DP
Derrill B. Pratt
FIDELITY BROKERAGE SERVICES
SMITHFIELD, RI 02917
Some features on this profile are disabled
CRD#: 2008889
DP
Derrill B. Pratt IVFIDELITY BROKERAGE SERVICES
Professional summary
Derrill B. Pratt IV, who also goes by Derrill Burnham Pratt IV, Derrill Burnham Pratt, Tad Pratt Iv, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Derrill is registered as a RR (Registered Representative) and started their career in finance in 1992. Derrill has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9 and Series 10 exams.
Aliases
Derrill Burnham Pratt Iv | Derrill Burnham Pratt | Tad Pratt Iv
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 Derrill B. Pratt IV'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
April 1, 2014 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
SMITHFIELD, RI
Past
February 27, 2006 - October 22, 2013
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
ARLINGTON, VA
Past
July 1, 2003 - January 6, 2006
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 29, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 14, 1995 - January 8, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 13, 1992 - November 1, 1995
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
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(4/1/2014)
RR
Alaska(4/1/2014)
RR
Arizona(4/1/2014)
RR
Arkansas(4/1/2014)
RR
California(4/1/2014)
RR
Colorado(4/1/2014)
RR
Connecticut(4/1/2014)
RR
Delaware(4/1/2014)
RR
District of Columbia(4/1/2014)
RR
Florida(4/1/2014)
RR
Georgia(4/1/2014)
RR
Hawaii(4/1/2014)
RR
Idaho(4/1/2014)
RR
Illinois(4/1/2014)
RR
Indiana(4/1/2014)
RR
Iowa(4/1/2014)
RR
Kansas(4/1/2014)
RR
Kentucky(4/1/2014)
RR
Louisiana(4/1/2014)
RR
Maine(4/1/2014)
RR
Maryland(4/1/2014)
RR
Massachusetts(4/1/2014)
RR
Michigan(4/1/2014)
RR
Minnesota(4/1/2014)
RR
Mississippi(4/1/2014)
RR
Missouri(4/1/2014)
RR
Montana(4/1/2014)
RR
Nebraska(4/1/2014)
RR
Nevada(4/1/2014)
RR
New Hampshire(4/1/2014)
RR
New Jersey(4/1/2014)
RR
New Mexico(4/1/2014)
RR
New York(4/1/2014)
RR
North Carolina(4/2/2014)
RR
North Dakota(4/1/2014)
RR
Ohio(4/1/2014)
RR
Oklahoma(4/1/2014)
RR
Oregon(4/1/2014)
RR
Pennsylvania(4/1/2014)
RR
Puerto Rico(4/1/2014)
RR
Rhode Island(4/1/2014)
RR
South Carolina(4/1/2014)
RR
South Dakota(4/1/2014)
RR
Tennessee(5/26/2015)
RR
Texas(4/1/2014)
RR
Utah(4/1/2014)
RR
Vermont(4/1/2014)
RR
Virgin Islands(4/1/2014)
RR
Virginia(4/1/2014)
RR
Washington(4/1/2014)
RR
West Virginia(4/1/2014)
RR
Wisconsin(4/1/2014)
RR
Wyoming(4/1/2014)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Passed: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 9
Passed: 9/11/2015
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Passed: 8/7/2015
General Securities Sales Supervisor - General Module Examination
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)
Loading...
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 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| 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 | 24 |
| Arbitration | 129 |
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
Monitor Derrill Pratt
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
