Kenneth W. Thomas
Professional summary
Kenneth William Thomas, who also goes by Kenneth William Thomas, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 2 firms and has passed the SIE, Series 99 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth William Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2012 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917May 6, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917June 11, 1996 - June 3, 1997
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current 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
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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