Douglas S. Johnson

FIDELITY BROKERAGE SERVICES LLC

Smithfield, RI 02917

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CRD#: 2155705

Professional summary

Douglas Scott Johnson, who also goes by Douglas Johnson, Douglas Scott Johnson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas Johnson | Douglas Scott Johnson

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.

1. Long Island Platform Tennis Association: Sporting Organization; President, Not Investment Related; 3 hrs/mth; Cold Spring, NY. 2. Matinecock Neighborhood Association: Local Non Profit; President, Not Investment Related; 1 hr/mth; Locust Valley, NY. 3. Traders Lane Management, Inc: Family Holding Company; President; Investment Related: 2 hrs/mth; Locust Valley, NY. 4. Laurel Glen Maintenance Association: Road Association; President; Not Investment Related; 1 hr/mth; Locust Valley, NY.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Scott Johnson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 1, 2025 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

October 4, 2023 - January 31, 2025

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

Melville, NY

Past

October 4, 2023 - January 31, 2025

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

Melville, NY

Past

July 20, 2022 - October 2, 2023

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

Melville, NY

Past

July 19, 2022 - October 2, 2023

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Melville, NY

Past

January 4, 2021 - July 21, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

MELVILLE, NY

Past

December 21, 2020 - July 21, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

MELVILLE, NY

Past

November 15, 2017 - July 21, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

November 10, 2017 - July 21, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 17, 2014 - March 30, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GARDEN CITY, NY

Past

July 14, 2014 - March 30, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GARDEN CITY, NY

Past

March 19, 2013 - June 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MELVILLE, NY

Past

February 20, 2013 - June 13, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MELVILLE, NY

Past

May 6, 2011 - January 9, 2013

CAPSTONE INVESTMENTS

CRD#: 41400

NEW YORK, NY

Past

October 1, 2008 - March 7, 2011

CARIS & COMPANY, INC.

CRD#: 104235

NEW YORK, NY

Past

February 29, 2008 - July 3, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 29, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

May 18, 2004 - November 2, 2004

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEW YORK, NY

Past

May 18, 2004 - November 2, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

July 9, 2002 - April 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

NEW YORK, NY

Past

November 3, 2000 - April 9, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 27, 1991 - July 12, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(5/7/2025)

Alaska
(5/7/2025)

Arizona
(5/7/2025)

Arkansas
(5/7/2025)

California
(5/7/2025)

Colorado
(5/7/2025)

Connecticut
(5/7/2025)

Delaware
(5/7/2025)

District of Columbia
(5/7/2025)

Florida
(5/7/2025)

Georgia
(5/7/2025)

Hawaii
(5/7/2025)

Idaho
(5/7/2025)

Illinois
(5/7/2025)

Indiana
(5/7/2025)

Iowa
(5/7/2025)

Kansas
(5/7/2025)

Kentucky
(5/7/2025)

Louisiana
(5/7/2025)

Maine
(5/7/2025)

Maryland
(5/7/2025)

Massachusetts
(5/7/2025)

Michigan
(5/7/2025)

Minnesota
(5/7/2025)

Mississippi
(5/7/2025)

Missouri
(5/7/2025)

Montana
(5/7/2025)

Nebraska
(5/7/2025)

Nevada
(5/7/2025)

New Hampshire
(5/7/2025)

New Jersey
(5/7/2025)

New Mexico
(5/7/2025)

New York
(5/1/2025)

North Carolina
(5/7/2025)

North Dakota
(5/7/2025)

Ohio
(5/7/2025)

Oklahoma
(5/7/2025)

Oregon
(5/7/2025)

Pennsylvania
(5/7/2025)

Puerto Rico
(5/7/2025)

Rhode Island
(5/7/2025)

South Carolina
(5/7/2025)

South Dakota
(5/7/2025)

Tennessee
(5/7/2025)

Texas
(5/7/2025)

Utah
(5/7/2025)

Vermont
(5/7/2025)

Virgin Islands
(5/7/2025)

Virginia
(5/7/2025)

Washington
(5/7/2025)

West Virginia
(5/7/2025)

Wisconsin
(5/7/2025)

Wyoming
(5/7/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/18/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/22/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/1991

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Douglas S. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Scott Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

ARETE WEALTH MANAGEMENT, LLC

ARETE WEALTH ADVISORS, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CAPSTONE INVESTMENTS

CARIS & COMPANY, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/18/2013

Series 65

Date: 2/22/1995

Series 63

Date: 10/11/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/25/1991

FINRA

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIDELITY BROKERAGE SERVICES LLC

TRUST BUT VERIFY

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