EB
Erin C. Burns
FIDELITY DISTRIBUTORS COMPANY LLC
Smithfield, RI 02917
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CRD#: 2864323
EB
Professional summary
Erin Cathleen Burns, who also goes by Erin Cathleen Burns, Erin Cathleen Rail, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
Erin is registered as a RR (Registered Representative) and started their career in finance in 1997. Erin has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erin Cathleen Burns | Erin Cathleen Rail
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 Erin Cathleen Burns'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®
NoneExperience
Current
June 11, 2013 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
June 2, 2005 - May 13, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
IRVINE, CA
Past
January 1, 2005 - May 5, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
January 28, 2004 - November 13, 2009
J.P. MORGAN INVESTMENT MANAGEMENT INC.
RIA
CRD#: 107038
NEW YORK, NY
Past
June 15, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
December 22, 1999 - June 15, 2001
BISYS SHELF B/D (1), INC.
BD
CRD#: 26501
BOSTON, MA
Past
January 19, 1999 - May 25, 1999
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
December 8, 1998 - January 19, 1999
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
December 18, 1997 - September 25, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
BD
CRD#: 824
NEW YORK, NY
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
Alabama(6/11/2013)
RR
Alaska(6/11/2013)
RR
Arizona(6/11/2013)
RR
Arkansas(6/11/2013)
RR
California(6/11/2013)
RR
Colorado(6/11/2013)
RR
Connecticut(6/11/2013)
RR
Delaware(6/11/2013)
RR
District of Columbia(6/11/2013)
RR
Florida(6/11/2013)
RR
Georgia(6/11/2013)
RR
Hawaii(6/11/2013)
RR
Idaho(6/11/2013)
RR
Illinois(6/11/2013)
RR
Indiana(6/11/2013)
RR
Iowa(6/11/2013)
RR
Kansas(6/11/2013)
RR
Kentucky(6/11/2013)
RR
Louisiana(6/11/2013)
RR
Maine(6/11/2013)
RR
Maryland(6/11/2013)
RR
Massachusetts(6/11/2013)
RR
Michigan(6/11/2013)
RR
Minnesota(6/11/2013)
RR
Mississippi(6/11/2013)
RR
Missouri(6/11/2013)
RR
Montana(6/11/2013)
RR
Nebraska(6/11/2013)
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Nevada(6/11/2013)
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New Hampshire(6/11/2013)
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New Jersey(6/11/2013)
RR
New Mexico(6/11/2013)
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New York(6/11/2013)
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North Carolina(6/11/2013)
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North Dakota(6/11/2013)
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Ohio(6/11/2013)
RR
Oklahoma(6/11/2013)
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Oregon(6/11/2013)
RR
Pennsylvania(6/11/2013)
RR
Puerto Rico(6/11/2013)
RR
Rhode Island(6/11/2013)
RR
South Carolina(6/11/2013)
RR
South Dakota(6/11/2013)
RR
Tennessee(6/11/2013)
RR
Texas(6/11/2013)
RR
Utah(6/11/2013)
RR
Vermont(6/11/2013)
RR
Virginia(6/11/2013)
RR
Washington(6/11/2013)
RR
West Virginia(6/11/2013)
RR
Wisconsin(6/11/2013)
RR
Wyoming(6/11/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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