Robert S. Philpott
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.
Robert Scott Philpott, who also goes by Robert S Philpott, Robert Philpott, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2019 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
March 17, 2017 - November 1, 2017
FIDELITY BROKERAGE SERVICES LLC
April 15, 2004 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
April 15, 2004 - May 24, 2007
FIDELITY BROKERAGE SERVICES LLC
April 1, 2003 - February 25, 2004
CCBT BROKERAGE DIRECT, INC.
April 8, 1998 - March 4, 2003
STRATEGIC ADVISERS LLC
April 8, 1998 - March 4, 2003
FIDELITY PERSONAL TRUST COMPANY, FSB
April 8, 1998 - August 30, 2010
STRATEGIC ADVISERS LLC
February 24, 1998 - February 27, 2003
FIDELITY BROKERAGE SERVICES LLC
April 11, 1996 - December 1, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 6/23/2024
General Securities Representative ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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