JC
Jonathan R. Cain
FIDELITY DISTRIBUTORS COMPANY LLC
Smithfield, RI 02917
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CRD#: 2135182
JC
Professional summary
Jonathan Ryan Cain, who also goes by Jonathan Cain, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1991. Jonathan has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Cain
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 Jonathan Ryan Cain'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
October 25, 2018 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
June 22, 2011 - July 19, 2018
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
March 22, 2005 - July 11, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
BOSTON, MA
Past
November 19, 2001 - February 7, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 5, 1992 - November 19, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
September 23, 1991 - September 23, 1992
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
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(2/4/2019)
RR
Alaska(2/4/2019)
RR
Arizona(2/7/2019)
RR
Arkansas(2/4/2019)
RR
California(2/4/2019)
RR
Colorado(10/25/2018)
RR
Connecticut(10/26/2018)
RR
Delaware(2/4/2019)
RR
District of Columbia(10/25/2018)
RR
Florida(10/25/2018)
RR
Georgia(2/4/2019)
RR
Hawaii(2/4/2019)
RR
Idaho(10/25/2018)
RR
Illinois(10/25/2018)
RR
Indiana(2/4/2019)
RR
Iowa(2/4/2019)
RR
Kansas(2/4/2019)
RR
Kentucky(2/4/2019)
RR
Louisiana(10/25/2018)
RR
Maine(10/25/2018)
RR
Maryland(10/25/2018)
RR
Massachusetts(2/4/2019)
RR
Michigan(2/4/2019)
RR
Minnesota(2/4/2019)
RR
Mississippi(2/4/2019)
RR
Missouri(2/4/2019)
RR
Montana(2/4/2019)
RR
Nebraska(2/4/2019)
RR
Nevada(2/4/2019)
RR
New Hampshire(2/4/2019)
RR
New Jersey(2/4/2019)
RR
New Mexico(2/4/2019)
RR
New York(2/4/2019)
RR
North Carolina(2/5/2019)
RR
North Dakota(2/4/2019)
RR
Ohio(10/25/2018)
RR
Oklahoma(2/4/2019)
RR
Oregon(2/4/2019)
RR
Pennsylvania(2/4/2019)
RR
Puerto Rico(10/25/2018)
RR
Rhode Island(2/4/2019)
RR
South Carolina(2/4/2019)
RR
South Dakota(2/4/2019)
RR
Tennessee(2/4/2019)
RR
Texas(2/4/2019)
RR
Utah(2/4/2019)
RR
Vermont(2/4/2019)
RR
Virginia(2/4/2019)
RR
Washington(2/4/2019)
RR
West Virginia(2/4/2019)
RR
Wisconsin(2/4/2019)
RR
Wyoming(2/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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 DISTRIBUTORS COMPANY LLC
CRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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