PH
Paul S. Hartwell
FIDELITY BROKERAGE SERVICES LLC
Merrimack, NH 03054
Some features on this profile are disabled
CRD#: 239063
PH
Professional summary
Paul S. Hartwell, who also goes by Paul S Hartwell, Paul Hartwell, Paul Steven Hartwell, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1972. Paul has worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 000 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul S Hartwell | Paul Hartwell | Paul Steven Hartwell
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.
(1) 09/2016: Notary Public - Notary - Not Investment Related - At Reported Business Location(s) - Start 01/19/2013 - 1 Hr/Mo; 0 Hour(s) During Securities Trading; 1% Time Spent (2) 09/2016: Paul Hartwell, MBA - Non-Profit Board Member - Not Investment Related - PO Box 80512 Stoneham, MA 02180 - Start 04/01/2009 - 8 Hr/Mo; 0 Hour(s) During Securities Trading; 4% Time Spent (3) 09/2016: Goldfinch Financial - DBA for LPL Business (entity for LPL business) - Investment Related - 21 College Rd, Manchester, NH 03102 - Start 08/01/2016 - 96 Hr/Mo; 8 Hour(s) During Securities Trading; 100% Time Spent (4) 8/6/2020 - GOLDFINCH FINANCIAL, INC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Licensed Admin. - Started 08/04/2020 - 5 Hours Per Month During Securities Trading - I provide administrative support to GOLDFINCH FINANCIAL, INC., an independent investment advisor firm. I started this business activity in 8/2020. I expect to spend approximately 5 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - BD
Click below to view Paul S. Hartwell'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
October 5, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054BD
CRD#: 7784
Merrimack, NH
Past
March 22, 2019 - August 25, 2022
GOLDFINCH FINANCIAL, INC.
RIA
CRD#: 172632
MANCHESTER, NH
Past
August 31, 2016 - September 15, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANCHESTER, NH
Past
August 31, 2016 - September 15, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
MANCHESTER, NH
Past
November 16, 2015 - August 2, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
BOSTON, MA
Past
November 13, 2015 - August 2, 2016
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
BOSTON, MA
Past
September 3, 2014 - August 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WALTHAM, MA
Past
August 11, 2014 - August 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WALTHAM, MA
Past
September 17, 2009 - July 28, 2014
VENTURE PARTNERS CAPITAL, L.L.C.
BD
CRD#: 41463
EAST BERLIN, CT
Past
October 20, 2004 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CAMBRIDGE, MA
Past
October 20, 2004 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CAMBRIDGE, MA
Past
September 3, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
CAMBRIDGE, MA
Past
May 19, 2003 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 29, 2002 - May 22, 2003
LEERINK PARTNERS LLC
BD
CRD#: 39011
BOSTON, MA
Past
August 5, 2000 - February 12, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 22, 1998 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
February 24, 1989 - August 28, 1998
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
August 26, 1982 - March 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 7, 1976 - July 21, 1982
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
BD
CRD#: 7303
Past
April 29, 1975 - July 11, 1976
BROWNCO, LLC
BD
CRD#: 1326
Past
April 10, 1972 - April 25, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(10/6/2022)
RR
Alaska(10/6/2022)
RR
Arizona(10/20/2022)
RR
Arkansas(10/12/2022)
RR
California(10/6/2022)
RR
Colorado(10/6/2022)
RR
Connecticut(10/6/2022)
RR
Delaware(10/17/2022)
RR
District of Columbia(10/12/2022)
RR
Florida(10/6/2022)
RR
Georgia(10/7/2022)
RR
Hawaii(10/12/2022)
RR
Idaho(10/5/2022)
RR
Illinois(10/21/2022)
RR
Indiana(10/6/2022)
RR
Iowa(10/6/2022)
RR
Kansas(10/7/2022)
RR
Kentucky(10/6/2022)
RR
Louisiana(10/6/2022)
RR
Maine(10/5/2022)
RR
Maryland(10/6/2022)
RR
Massachusetts(10/5/2022)
RR
Michigan(10/10/2022)
RR
Minnesota(10/6/2022)
RR
Mississippi(10/7/2022)
RR
Missouri(10/6/2022)
RR
Montana(10/5/2022)
RR
Nebraska(10/5/2022)
RR
Nevada(10/18/2022)
RR
New Hampshire(10/12/2022)
RR
New Jersey(10/6/2022)
RR
New Mexico(10/6/2022)
RR
New York(10/16/2022)
RR
North Carolina(10/10/2022)
RR
North Dakota(10/11/2022)
RR
Ohio(10/6/2022)
RR
Oklahoma(10/6/2022)
RR
Oregon(10/7/2022)
RR
Pennsylvania(10/6/2022)
RR
Puerto Rico(10/14/2022)
RR
Rhode Island(10/12/2022)
RR
South Carolina(10/10/2022)
RR
South Dakota(10/19/2022)
RR
Tennessee(10/6/2022)
RR
Texas(10/5/2022)
RR
Utah(10/6/2022)
RR
Vermont(10/6/2022)
RR
Virgin Islands(10/11/2022)
RR
Virginia(10/13/2022)
RR
Washington(10/6/2022)
RR
West Virginia(10/6/2022)
RR
Wisconsin(10/6/2022)
RR
Wyoming(10/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 000
Date: 4/5/1972
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 4/5/1972
Registered Representative ExaminationSRO 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.
