Robert S. Wakely
Professional summary
Robert Scott Wakely is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Walnut Creek, California.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Scott Wakely's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 2001 North Main Street Three Ygnacio Center, Ste 100, Walnut Creek, CA 94596March 31, 2011 - January 26, 2015
STRATEGIC ADVISERS LLC
September 8, 2007 - December 5, 2007
MML INVESTORS SERVICES, LLC
August 24, 2007 - December 5, 2007
MML INVESTORS SERVICES, LLC
October 13, 2006 - June 7, 2007
TOWER SQUARE SECURITIES, INC.
September 28, 2006 - June 7, 2007
TOWER SQUARE SECURITIES, INC.
August 9, 2005 - September 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2005 - September 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2005 - August 11, 2005
NEW ENGLAND SECURITIES
March 1, 2005 - August 11, 2005
NEW ENGLAND SECURITIES
October 20, 2004 - January 3, 2005
CITICORP INVESTMENT SERVICES
December 4, 2001 - August 3, 2004
EDWARD JONES
January 22, 1994 - December 3, 2001
CHARLES SCHWAB & CO., INC.
December 22, 1992 - December 22, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 9/12/1994
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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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Walnut Creek, CA 94596TRUST BUT VERIFY
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