Robert L. Vines
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 Lee Vines, who also goes by Robert VInes, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2020 - January 6, 2026
FIDELITY BROKERAGE SERVICES LLC
December 24, 2019 - January 6, 2026
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
October 17, 2019 - January 6, 2026
NATIONAL FINANCIAL SERVICES LLC
May 14, 2012 - October 18, 2019
PORTFOLIO BROKERAGE SERVICES, INC.
July 19, 2011 - December 9, 2011
QUASAR DISTRIBUTORS, LLC
October 28, 2010 - October 18, 2019
ENVESTNET PORTFOLIO SOLUTIONS, INC.
October 23, 2009 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 21, 2008 - December 31, 2008
BOFA ADVISORS, LLC
April 28, 2008 - December 31, 2008
BOFA DISTRIBUTORS, INC.
November 12, 1996 - August 18, 2006
FIDELITY BROKERAGE SERVICES LLC
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
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 |
| 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.
