HM
Harry Mozian
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 2528535
HM
Professional summary
Harry Mozian, who also goes by Harry Mozian Jr, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Harry is registered as a RR (Registered Representative) and started their career in finance in 1995. Harry has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 25, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Harry Mozian Jr
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 Harry Mozian'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
September 9, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
February 21, 2018 - August 19, 2021
PRIME EXECUTIONS, INC.
BD
CRD#: 32889
NEW YORK, NY
Past
October 2, 2017 - February 27, 2018
GREYWOLF EXECUTION PARTNERS, INC.
BD
CRD#: 147790
New York, NY
Past
June 16, 2009 - February 22, 2012
MONTECITO ADVISORS, INC.
BD
CRD#: 104004
NEW YORK, NY
Past
March 28, 2003 - October 2, 2017
GLOBAL DIRECT EQUITIES, LLC
BD
CRD#: 124514
NEW YORK, NY
Past
May 7, 2002 - March 6, 2003
C. J. LEDONE EQUITIES, INC.
BD
CRD#: 45300
NEW YORK, NY
Past
April 30, 2001 - October 4, 2001
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
September 11, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
October 30, 1998 - August 28, 2000
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 29, 1995 - September 16, 1998
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
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(9/9/2022)
RR
Alaska(9/9/2022)
RR
Arizona(9/9/2022)
RR
Arkansas(9/9/2022)
RR
California(9/9/2022)
RR
Colorado(9/9/2022)
RR
Connecticut(9/9/2022)
RR
Delaware(9/9/2022)
RR
District of Columbia(9/9/2022)
RR
Florida(9/9/2022)
RR
Georgia(9/9/2022)
RR
Hawaii(9/9/2022)
RR
Idaho(9/9/2022)
RR
Illinois(9/9/2022)
RR
Indiana(9/9/2022)
RR
Iowa(9/9/2022)
RR
Kansas(9/9/2022)
RR
Kentucky(9/9/2022)
RR
Louisiana(9/9/2022)
RR
Maine(9/9/2022)
RR
Maryland(9/9/2022)
RR
Massachusetts(9/9/2022)
RR
Michigan(9/9/2022)
RR
Minnesota(9/9/2022)
RR
Mississippi(9/9/2022)
RR
Missouri(9/9/2022)
RR
Montana(9/9/2022)
RR
Nebraska(9/9/2022)
RR
Nevada(9/9/2022)
RR
New Hampshire(9/9/2022)
RR
New Jersey(9/9/2022)
RR
New Mexico(9/9/2022)
RR
New York(9/9/2022)
RR
North Carolina(9/9/2022)
RR
North Dakota(9/9/2022)
RR
Ohio(9/12/2022)
RR
Oklahoma(9/9/2022)
RR
Oregon(9/9/2022)
RR
Pennsylvania(9/9/2022)
RR
Puerto Rico(9/9/2022)
RR
Rhode Island(9/9/2022)
RR
South Carolina(9/9/2022)
RR
South Dakota(9/9/2022)
RR
Tennessee(9/9/2022)
RR
Texas(9/9/2022)
RR
Utah(9/9/2022)
RR
Vermont(9/9/2022)
RR
Virgin Islands(9/9/2022)
RR
Virginia(9/9/2022)
RR
Washington(9/9/2022)
RR
West Virginia(9/9/2022)
RR
Wisconsin(9/9/2022)
RR
Wyoming(9/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 4/6/2004
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product 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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