Joanne M. Caruso
FIDELITY DISTRIBUTORS COMPANY LLC | Market Leader
Smithfield, RI 02917
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CRD#: 2432404
Professional summary
Joanne Margaret Caruso, who also goes by Joanne M Caruso, Joanne Margaret Caruso, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
Joanne is registered as a RR (Registered Representative) and started their career in finance in 1994. Joanne has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Biography
As a Market Leader and Branch Office Leader, I am passionate about coaching and leading our associates to be the best version of themselves. We are committed to being client obsessed and putting our clients financial plan first. I am proud to lead our associates in Connecticut and seek to understand what is most important to our clients. At Fidelity our process is colloborative and consultative.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joanne M Caruso | Joanne Margaret Caruso
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 Joanne Margaret Caruso'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®
NoneEducation
Rhode Island College
Bachelor of Arts (BA) - Mathematics
1992
Experience
Current
April 19, 2024 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
September 25, 2018 - March 22, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
August 31, 2018 - March 22, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWICH, CT
Past
August 5, 1997 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYZATA, MN
Past
January 1, 1994 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYZATA, MN
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(4/25/2024)
RR
Alaska(4/25/2024)
RR
Arizona(4/25/2024)
RR
Arkansas(4/25/2024)
RR
California(4/25/2024)
RR
Colorado(4/25/2024)
RR
Connecticut(4/19/2024)
RR
Delaware(4/25/2024)
RR
District of Columbia(4/25/2024)
RR
Florida(4/25/2024)
RR
Georgia(4/25/2024)
RR
Hawaii(4/25/2024)
RR
Idaho(4/25/2024)
RR
Illinois(4/25/2024)
RR
Indiana(4/25/2024)
RR
Iowa(4/25/2024)
RR
Kansas(4/25/2024)
RR
Kentucky(4/25/2024)
RR
Louisiana(4/25/2024)
RR
Maine(4/25/2024)
RR
Maryland(4/25/2024)
RR
Massachusetts(4/19/2024)
RR
Michigan(4/25/2024)
RR
Minnesota(4/25/2024)
RR
Mississippi(4/25/2024)
RR
Missouri(4/25/2024)
RR
Montana(4/25/2024)
RR
Nebraska(4/25/2024)
RR
Nevada(4/25/2024)
RR
New Hampshire(4/25/2024)
RR
New Jersey(4/25/2024)
RR
New Mexico(4/25/2024)
RR
New York(4/25/2024)
RR
North Carolina(4/25/2024)
RR
North Dakota(4/25/2024)
RR
Ohio(4/25/2024)
RR
Oklahoma(4/25/2024)
RR
Oregon(4/25/2024)
RR
Pennsylvania(4/25/2024)
RR
Puerto Rico(4/25/2024)
RR
Rhode Island(4/25/2024)
RR
South Carolina(4/25/2024)
RR
South Dakota(4/25/2024)
RR
Tennessee(4/25/2024)
RR
Texas(4/25/2024)
RR
Utah(4/25/2024)
RR
Vermont(4/25/2024)
RR
Virginia(4/25/2024)
RR
Washington(4/25/2024)
RR
West Virginia(4/25/2024)
RR
Wisconsin(4/25/2024)
RR
Wyoming(4/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
Market LeaderCRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
