TB
Tracy C. Bogolin
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 2382811
TB
Professional summary
Tracy C. Bogolin, who also goes by Tracy Christopher Bogolin, Tracy C Bogolin, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1994. Tracy has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tracy Christopher Bogolin | Tracy C Bogolin
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 Tracy C. Bogolin'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
February 10, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
August 13, 2021 - November 5, 2021
SABLE CAPITAL LLC
BD
CRD#: 113818
St. Louis, MO
Past
June 16, 2016 - July 21, 2021
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
ALISO VIEJO, CA
Past
June 28, 2013 - May 11, 2016
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
HOUSTON, TX
Past
May 31, 2013 - June 28, 2013
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
November 19, 2012 - January 10, 2013
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BELLEVUE, WA
Past
January 19, 2011 - March 14, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
GREENSBORO, NC
Past
January 1, 2008 - November 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 2, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
October 21, 1994 - October 2, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 21, 1994 - October 2, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(2/10/2022)
RR
Alaska(2/10/2022)
RR
Arizona(2/10/2022)
RR
Arkansas(2/10/2022)
RR
California(2/10/2022)
RR
Colorado(2/10/2022)
RR
Connecticut(2/10/2022)
RR
Delaware(2/10/2022)
RR
District of Columbia(2/10/2022)
RR
Florida(2/10/2022)
RR
Georgia(2/10/2022)
RR
Hawaii(2/10/2022)
RR
Idaho(2/10/2022)
RR
Illinois(2/10/2022)
RR
Indiana(2/10/2022)
RR
Iowa(2/10/2022)
RR
Kansas(2/10/2022)
RR
Kentucky(2/10/2022)
RR
Louisiana(2/10/2022)
RR
Maine(2/10/2022)
RR
Maryland(2/10/2022)
RR
Massachusetts(2/10/2022)
RR
Michigan(2/10/2022)
RR
Minnesota(2/10/2022)
RR
Mississippi(2/10/2022)
RR
Missouri(2/10/2022)
RR
Montana(2/10/2022)
RR
Nebraska(2/10/2022)
RR
Nevada(2/10/2022)
RR
New Hampshire(2/10/2022)
RR
New Jersey(2/10/2022)
RR
New Mexico(2/10/2022)
RR
New York(2/10/2022)
RR
North Carolina(2/10/2022)
RR
North Dakota(2/10/2022)
RR
Ohio(2/10/2022)
RR
Oklahoma(2/10/2022)
RR
Oregon(2/10/2022)
RR
Pennsylvania(2/10/2022)
RR
Puerto Rico(2/10/2022)
RR
Rhode Island(2/10/2022)
RR
South Carolina(2/10/2022)
RR
South Dakota(2/10/2022)
RR
Tennessee(2/10/2022)
RR
Texas(2/10/2022)
RR
Utah(2/10/2022)
RR
Vermont(2/10/2022)
RR
Virgin Islands(2/10/2022)
RR
Virginia(2/10/2022)
RR
Washington(2/10/2022)
RR
West Virginia(2/10/2022)
RR
Wisconsin(2/10/2022)
RR
Wyoming(2/10/2022)
Exams
State Security Law Exam
General 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#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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