Andrew B. Middleton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Brooks Middleton, who also goes by Andrew Brooks Middleton Sr, Andrew Middleton, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 31 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2023 - July 25, 2024
FIDELITY BROKERAGE SERVICES LLC
October 22, 2013 - December 3, 2013
NATIONAL PLANNING CORPORATION
June 25, 2002 - December 31, 2006
MIDDLETON & MIDDLETON, INC.
June 25, 2002 - December 1, 2010
DOUGLAS M. MIDDLETON & COMPANY
February 9, 1996 - December 17, 2001
CHARLES SCHWAB & CO., INC.
February 15, 1994 - January 31, 1996
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 7TO
Date: 5/1/2023
General Securities Representative ExaminationSeries 8
Date: 12/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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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