CE
Claudia L. Ellis
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 2666877
CE
Professional summary
Claudia Lynn Ellis, who also goes by Claudia L Christy, Claudia Lynn Christy, Claudia Lynn Ellis, Claudia Zirkel, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Claudia is registered as a RR (Registered Representative) and started their career in finance in 1995. Claudia has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Claudia L Christy | Claudia Lynn Christy | Claudia Lynn Ellis | Claudia Zirkel
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 Claudia Lynn Ellis'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
August 12, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
May 4, 2012 - July 19, 2013
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
WESTLAKE, TX
Past
December 10, 2009 - April 24, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DALLAS, TX
Past
September 8, 2005 - December 17, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
LEWISVILLE, TX
Past
February 2, 1998 - December 17, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LEWISVILLE, TX
Past
December 1, 1995 - October 21, 1997
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
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(1/5/2016)
RR
Alaska(1/5/2016)
RR
Arizona(1/5/2016)
RR
Arkansas(1/5/2016)
RR
California(1/5/2016)
RR
Colorado(1/5/2016)
RR
Connecticut(1/5/2016)
RR
Delaware(1/5/2016)
RR
District of Columbia(1/5/2016)
RR
Florida(1/5/2016)
RR
Georgia(1/5/2016)
RR
Hawaii(1/5/2016)
RR
Idaho(1/5/2016)
RR
Illinois(1/5/2016)
RR
Indiana(1/5/2016)
RR
Iowa(1/5/2016)
RR
Kansas(1/5/2016)
RR
Kentucky(1/5/2016)
RR
Louisiana(1/5/2016)
RR
Maine(1/5/2016)
RR
Maryland(1/5/2016)
RR
Massachusetts(8/12/2013)
RR
Michigan(1/5/2016)
RR
Minnesota(1/5/2016)
RR
Mississippi(1/5/2016)
RR
Missouri(1/5/2016)
RR
Montana(1/5/2016)
RR
Nebraska(1/5/2016)
RR
Nevada(1/5/2016)
RR
New Hampshire(1/5/2016)
RR
New Jersey(1/5/2016)
RR
New Mexico(1/5/2016)
RR
New York(1/5/2016)
RR
North Carolina(1/8/2016)
RR
North Dakota(1/5/2016)
RR
Ohio(1/6/2016)
RR
Oklahoma(1/12/2016)
RR
Oregon(1/5/2016)
RR
Pennsylvania(1/5/2016)
RR
Puerto Rico(1/6/2017)
RR
Rhode Island(1/5/2016)
RR
South Carolina(1/5/2016)
RR
South Dakota(1/5/2016)
RR
Tennessee(1/5/2016)
RR
Texas(8/12/2013)
RR
Utah(8/12/2013)
RR
Vermont(1/5/2016)
RR
Virgin Islands(1/6/2017)
RR
Virginia(1/5/2016)
RR
Washington(1/5/2016)
RR
West Virginia(1/5/2016)
RR
Wisconsin(1/5/2016)
RR
Wyoming(1/5/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
