FL
Frederick A. Lazaro
FIDELITY BROKERAGE SERVICES
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 2671927
FL
Professional summary
Frederick Allan Lazaro is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1996. Frederick has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Frederick Allan Lazaro'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
March 30, 2026 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
December 1, 2014 - January 14, 2026
BTIG, LLC
BD
CRD#: 122225
Burlingame, CA
Past
August 19, 2008 - June 18, 2014
BNP PARIBAS PRIME BROKERAGE, INC.
BD
CRD#: 24962
SAN FRANCISCO, CA
Past
May 18, 2005 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
August 17, 2004 - May 19, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 17, 2003 - July 16, 2004
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
June 10, 1998 - February 7, 2002
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
September 10, 1996 - May 17, 1998
JACK WHITE & COMPANY, INC.
BD
CRD#: 7645
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(4/3/2026)
RR
Alaska(4/3/2026)
RR
Arizona(4/3/2026)
RR
Arkansas(4/3/2026)
RR
California(3/30/2026)
RR
Colorado(4/3/2026)
RR
Connecticut(4/3/2026)
RR
Delaware(4/3/2026)
RR
District of Columbia(4/3/2026)
RR
Florida(4/3/2026)
RR
Georgia(4/3/2026)
RR
Hawaii(4/3/2026)
RR
Idaho(4/3/2026)
RR
Illinois(4/3/2026)
RR
Indiana(4/3/2026)
RR
Iowa(4/3/2026)
RR
Kansas(4/3/2026)
RR
Kentucky(4/3/2026)
RR
Louisiana(4/3/2026)
RR
Maine(4/3/2026)
RR
Maryland(4/3/2026)
RR
Massachusetts(4/3/2026)
RR
Michigan(4/3/2026)
RR
Minnesota(4/3/2026)
RR
Mississippi(4/3/2026)
RR
Missouri(4/3/2026)
RR
Montana(4/3/2026)
RR
Nebraska(4/3/2026)
RR
Nevada(4/3/2026)
RR
New Hampshire(4/3/2026)
RR
New Jersey(4/3/2026)
RR
New Mexico(4/3/2026)
RR
New York(4/3/2026)
RR
North Carolina(4/3/2026)
RR
North Dakota(4/3/2026)
RR
Ohio(4/6/2026)
RR
Oklahoma(4/3/2026)
RR
Oregon(4/3/2026)
RR
Pennsylvania(4/3/2026)
RR
Puerto Rico(4/3/2026)
RR
Rhode Island(4/3/2026)
RR
South Carolina(4/3/2026)
RR
South Dakota(4/3/2026)
RR
Tennessee(4/3/2026)
RR
Texas(4/3/2026)
RR
Utah(4/3/2026)
RR
Vermont(4/3/2026)
RR
Virgin Islands(4/3/2026)
RR
Virginia(4/3/2026)
RR
Washington(4/3/2026)
RR
West Virginia(4/3/2026)
RR
Wisconsin(4/3/2026)
RR
Wyoming(4/3/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/1/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
| 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 | 126 |
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
Monitor Frederick Lazaro
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
