James M. Furlong
Professional summary
James Matthew Furlong, who also goes by Jim Furlong, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Furlong's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 1992 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054October 4, 1991 - February 27, 1992
IDS LIFE INSURANCE COMPANY
October 4, 1991 - February 27, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/15/2002)
(4/21/1992)
(1/3/2020)
(1/7/2022)
(1/7/2022)
Exams
Series 8
Date: 4/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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
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