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TO

Thomas G. O'sullivan

FIDELITY BROKERAGE SERVICES LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2458978
TO

Professional summary

Thomas G O'sullivan, who also goes by Thomas Gerard O'sullivan, Thomas G Osullivan, Thomas Gerard Osullivan, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Gerard O'sullivan | Thomas G Osullivan | Thomas Gerard Osullivan

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas G O'sullivan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 19, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 245 Summer Street, Boston, MA 02210
BD
CRD#: 7784
Boston, MA
Past

September 23, 2021 - June 13, 2022

MARINER WEALTH

RIA
CRD#: 140195
OVERLAND PARK, KS
Past

September 17, 2021 - June 13, 2022

MARINER INDEPENDENT

RIA
CRD#: 305418
OVERLAND PARK, KS
Past

March 4, 2021 - August 24, 2021

CW ADVISORS, LLC

RIA
CRD#: 310873
Mission Viejo, CA
Past

January 17, 2014 - December 6, 2018

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

November 12, 2004 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA
CRD#: 109516
BOSTON, MA
Past

July 31, 2000 - November 3, 2009

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BOSTON, MA
Past

December 23, 1998 - January 6, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
EL SEGUNDO, CA
Past

September 11, 1997 - December 23, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

June 12, 1996 - September 11, 1997

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 7, 1994 - June 12, 1996

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
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
(7/19/2022)
RR
Alaska
(1/4/2025)
RR
Arizona
(1/4/2025)
RR
Arkansas
(1/4/2025)
RR
California
(7/19/2022)
RR
Colorado
(1/4/2025)
RR
Connecticut
(12/18/2024)
RR
Delaware
(1/4/2025)
RR
District of Columbia
(7/19/2022)
RR
Florida
(7/19/2022)
RR
Georgia
(7/19/2022)
RR
Hawaii
(1/4/2025)
RR
Idaho
(7/19/2022)
RR
Illinois
(7/19/2022)
RR
Indiana
(1/4/2025)
RR
Iowa
(1/4/2025)
RR
Kansas
(1/4/2025)
RR
Kentucky
(1/4/2025)
RR
Louisiana
(1/4/2025)
RR
Maine
(1/4/2025)
RR
Maryland
(7/19/2022)
RR
Massachusetts
(7/19/2022)
RR
Michigan
(7/19/2022)
RR
Minnesota
(7/19/2022)
RR
Mississippi
(1/4/2025)
RR
Missouri
(1/4/2025)
RR
Montana
(1/4/2025)
RR
Nebraska
(7/19/2022)
RR
Nevada
(1/4/2025)
RR
New Hampshire
(7/19/2022)
RR
New Jersey
(7/19/2022)
RR
New Mexico
(1/4/2025)
RR
New York
(7/19/2022)
RR
North Carolina
(7/19/2022)
RR
North Dakota
(1/4/2025)
RR
Ohio
(7/20/2022)
RR
Oklahoma
(1/4/2025)
RR
Oregon
(7/19/2022)
RR
Pennsylvania
(1/4/2025)
RR
Puerto Rico
(1/4/2025)
RR
Rhode Island
(7/19/2022)
RR
South Carolina
(1/4/2025)
RR
South Dakota
(1/4/2025)
RR
Tennessee
(1/4/2025)
RR
Texas
(1/4/2025)
RR
Utah
(1/4/2025)
RR
Vermont
(1/4/2025)
RR
Virgin Islands
(1/4/2025)
RR
Virginia
(7/19/2022)
RR
Washington
(1/4/2025)
RR
West Virginia
(1/4/2025)
RR
Wisconsin
(1/4/2025)
RR
Wyoming
(1/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/22/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/4/1994
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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#: 7784Boston, MA 02210

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