OC
Oswaldo Chavez
FIDELITY BROKERAGE SERVICES LLC
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 2199944
OC
Professional summary
Oswaldo Chavez, who also goes by Ozzie Chavez, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Oswaldo is registered as a RR (Registered Representative) and started their career in finance in 1992. Oswaldo has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ozzie Chavez
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 Oswaldo Chavez'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
June 18, 2004 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
January 4, 2013 - January 4, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
RAMONA, CA
Past
September 29, 2004 - November 2, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SAN DIEGO, CA
Past
January 30, 1998 - July 28, 2003
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
March 1, 1996 - December 31, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 8, 1993 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
December 18, 1992 - January 13, 1993
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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(8/16/2021)
RR
Alaska(8/16/2021)
RR
Arizona(11/24/2015)
RR
Arkansas(8/16/2021)
RR
California(6/18/2004)
RR
Colorado(2/12/2021)
RR
Connecticut(2/12/2021)
RR
Delaware(8/16/2021)
RR
District of Columbia(8/16/2021)
RR
Florida(2/12/2021)
RR
Georgia(2/12/2021)
RR
Hawaii(8/16/2021)
RR
Idaho(8/16/2021)
RR
Illinois(2/12/2021)
RR
Indiana(2/12/2021)
RR
Iowa(8/16/2021)
RR
Kansas(8/16/2021)
RR
Kentucky(8/16/2021)
RR
Louisiana(8/16/2021)
RR
Maine(8/16/2021)
RR
Maryland(2/12/2021)
RR
Massachusetts(2/12/2021)
RR
Michigan(2/12/2021)
RR
Minnesota(2/12/2021)
RR
Mississippi(8/16/2021)
RR
Missouri(2/12/2021)
RR
Montana(8/16/2021)
RR
Nebraska(8/16/2021)
RR
Nevada(11/24/2015)
RR
New Hampshire(8/16/2021)
RR
New Jersey(2/12/2021)
RR
New Mexico(8/16/2021)
RR
New York(2/12/2021)
RR
North Carolina(2/12/2021)
RR
North Dakota(8/16/2021)
RR
Ohio(2/15/2021)
RR
Oklahoma(8/16/2021)
RR
Oregon(8/16/2021)
RR
Pennsylvania(2/12/2021)
RR
Puerto Rico(8/16/2021)
RR
Rhode Island(8/16/2021)
RR
South Carolina(8/16/2021)
RR
South Dakota(8/16/2021)
RR
Tennessee(8/16/2021)
RR
Texas(2/12/2021)
RR
Utah(8/16/2021)
RR
Vermont(8/16/2021)
RR
Virgin Islands(8/16/2021)
RR
Virginia(2/12/2021)
RR
Washington(2/12/2021)
RR
West Virginia(8/16/2021)
RR
Wisconsin(2/12/2021)
RR
Wyoming(8/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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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)
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#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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