Sangeeta Moorjani
FIDELITY BROKERAGE SERVICES LLC | Head of Tax Exempt Business & Retirement Solutions, Executive Vice President
Boston, MA 02210
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CRD#: 2788786
Professional summary
Sangeeta Moorjani, who also goes by Sangeeta (nmn) Moorjani, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Sangeeta is registered as a RR (Registered Representative) and started their career in finance in 2006. Sangeeta has worked at 3 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Biography
I have a passion for leading, coaching and developing high performing teams—it’s what inspires me to get up every day. I enjoy business strategy in a way that brings fresh perspective to product development, branding and marketing.
I follow a practice of building relationships, and I’m skilled at achieving senior management buy-in and leading complex and critical initiatives. In my experience, the true testament of a leader is whether you can spark novel thinking and lead people to take action.
For me, the impact of strong leadership in financial services is through helping people make decisions with their financial futures.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sangeeta (nmn) Moorjani
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 Sangeeta Moorjani'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®
NoneEducation
Savitribai Phule Pune University
MBA - Marketing
1990
Experience
Current
September 22, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210BD
CRD#: 7784
Boston, MA
Past
March 12, 2021 - December 31, 2021
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
August 28, 2019 - October 25, 2019
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
March 10, 2018 - December 31, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
BOSTON, MA
Past
November 16, 2006 - April 20, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
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
Colorado(1/5/2022)
RR
District of Columbia(1/5/2022)
RR
Florida(1/5/2022)
RR
Louisiana(1/5/2022)
RR
Maryland(1/5/2022)
RR
Puerto Rico(1/5/2022)
Exams
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General 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)
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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 |
| 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 |
| OWENS, WILSON | HEAD OF STRATEGY, PLANNING & PERSONALIZED PLANNING & ADVICE | 6383298 |
| 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDELITY BROKERAGE SERVICES LLC
Head of Tax Exempt Business & Retirement Solutions, Executive Vice PresidentCRD#: 7784Boston, MA 02210TRUST BUT VERIFY
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