DF
David B. Ferguson
FIDELITY BROKERAGE SERVICES LLC
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 2344579
DF
Professional summary
David B Ferguson, who also goes by David B Ferguson, David Bevan Ferguson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David B Ferguson | David Bevan Ferguson
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 David B Ferguson'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
July 2, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
February 5, 2019 - May 5, 2020
MORGAN STANLEY
RIA
CRD#: 149777
SOUTH JORDAN, UT
Past
December 14, 2017 - May 5, 2020
MORGAN STANLEY
BD
CRD#: 149777
SOUTH JORDAN, UT
Past
May 3, 2011 - November 24, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALT LAKE CITY, UT
Past
October 13, 2008 - May 2, 2011
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SANDY, UT
Past
May 11, 2004 - March 8, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
June 11, 1993 - May 1, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(7/20/2020)
RR
Alaska(7/20/2020)
RR
Arizona(7/20/2020)
RR
Arkansas(7/20/2020)
RR
California(7/20/2020)
RR
Colorado(7/20/2020)
RR
Connecticut(7/20/2020)
RR
Delaware(7/21/2020)
RR
District of Columbia(7/23/2020)
RR
Florida(7/20/2020)
RR
Georgia(7/21/2020)
RR
Hawaii(7/22/2020)
RR
Idaho(7/20/2020)
RR
Illinois(7/23/2020)
RR
Indiana(7/24/2020)
RR
Iowa(7/21/2020)
RR
Kansas(7/22/2020)
RR
Kentucky(7/21/2020)
RR
Louisiana(7/20/2020)
RR
Maine(7/20/2020)
RR
Maryland(7/20/2020)
RR
Massachusetts(7/20/2020)
RR
Michigan(7/21/2020)
RR
Minnesota(7/21/2020)
RR
Mississippi(7/20/2020)
RR
Missouri(7/21/2020)
RR
Montana(7/21/2020)
RR
Nebraska(7/24/2020)
RR
Nevada(7/29/2020)
RR
New Hampshire(8/4/2020)
RR
New Jersey(7/22/2020)
RR
New Mexico(7/20/2020)
RR
New York(7/24/2020)
RR
North Carolina(7/20/2020)
RR
North Dakota(7/20/2020)
RR
Ohio(7/19/2020)
RR
Oklahoma(7/20/2020)
RR
Oregon(7/20/2020)
RR
Pennsylvania(7/20/2020)
RR
Puerto Rico(7/20/2020)
RR
Rhode Island(7/21/2020)
RR
South Carolina(7/20/2020)
RR
South Dakota(7/22/2020)
RR
Tennessee(7/20/2020)
RR
Texas(7/20/2020)
RR
Utah(7/2/2020)
RR
Vermont(7/20/2020)
RR
Virgin Islands(7/2/2020)
RR
Virginia(7/20/2020)
RR
Washington(7/20/2020)
RR
West Virginia(7/27/2020)
RR
Wisconsin(7/20/2020)
RR
Wyoming(7/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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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