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RH

R Traxson Hallagan

FIDELITY BROKERAGE SERVICES
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 2800184
RH

Professional summary

R Traxson Hallagan, who also goes by R Traxson Hallagan, R Traxson Traxson Hallagan, Ruhl Traxson Hallagan, R Traxson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.

R Traxson is registered as a RR (Registered Representative) and started their career in finance in 1996. R Traxson has worked at 4 firms and has passed the SIE, Series 99 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

R Traxson Hallagan | R Traxson Traxson Hallagan | Ruhl Traxson Hallagan | R Traxson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view R Traxson Hallagan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 27, 2024 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: One Destiny Way, Westlake, TX 76262
BD
CRD#: 7784
Westlake, TX
Past

August 20, 2020 - May 23, 2024

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
WESTLAKE, TX
Past

March 11, 2016 - June 26, 2020

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
WESTLAKE, TX
Past

November 18, 1996 - May 19, 1999

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/11/2016
Operations Professional Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

Red Flags

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Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Westlake, TX 76262

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