Dawud Thompson
Professional summary
Dawud Thompson, who also goes by Dawud Kwasi Thompson, Dna Thompson, Dawud Thompson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Dawud is registered as a RR (Registered Representative) and started their career in finance in 1997. Dawud has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawud Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - July 2, 2022
J.P. MORGAN SECURITIES LLC
January 1, 2007 - September 17, 2009
CHASE INVESTMENT SERVICES CORP.
December 11, 2006 - September 17, 2009
CHASE INVESTMENT SERVICES CORP.
October 26, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 26, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 16, 2006 - October 5, 2006
VALIC FINANCIAL ADVISORS, INC.
February 15, 2006 - October 5, 2006
VALIC FINANCIAL ADVISORS, INC.
May 6, 2003 - January 19, 2006
TD AMERITRADE, INC.
June 18, 1998 - January 19, 2006
TD AMERITRADE, INC.
October 14, 1997 - March 16, 1998
IDS LIFE INSURANCE COMPANY
October 14, 1997 - March 16, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 1997 - September 12, 1997
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2022)
(8/25/2025)
(9/21/2022)
(9/21/2022)
(9/21/2022)
Exams
FINRA
New York Stock Exchange
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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