Jeremy S. Eaton

FIDELITY BROKERAGE SERVICES LLC

Smithfield, RI 02917

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CRD#: 2961804

Professional summary

Jeremy Scott Eaton, who also goes by Jeremy S Eaton, Jeremy Eaton, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Jeremy is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeremy has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeremy S Eaton | Jeremy Eaton

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 Jeremy Scott Eaton'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

September 26, 2024 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

April 13, 2020 - July 22, 2024

CALTON & ASSOCIATES, INC.

CRD#: 20999

Glenview, IL

Past

September 21, 2017 - November 6, 2019

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Chicago, IL

Past

February 14, 2017 - September 21, 2017

INVESTMENT RESEARCH CORP

RIA

CRD#: 108208

Chicago, IL

Past

February 14, 2017 - September 21, 2017

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

CHICAGO, IL

Past

October 3, 2016 - February 13, 2017

CETERA ADVISORS LLC

CRD#: 10299

CHICAGO, IL

Past

January 20, 2011 - December 31, 2015

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

CHICAGO, IL

Past

September 2, 2005 - December 31, 2010

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

CHICAGO, IL

Past

September 2, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

CHICAGO, IL

Past

February 22, 2005 - September 2, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CHICAGO, IL

Past

February 22, 2005 - September 2, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

May 6, 1999 - July 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

February 24, 1999 - July 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 18, 1997 - February 5, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

State Registrations and Notice Filings

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

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

Alabama
(10/2/2024)

Alaska
(10/2/2024)

Arizona
(10/2/2024)

Arkansas
(10/2/2024)

California
(10/2/2024)

Colorado
(10/2/2024)

Connecticut
(10/2/2024)

Delaware
(10/2/2024)

District of Columbia
(10/2/2024)

Florida
(10/2/2024)

Georgia
(10/2/2024)

Hawaii
(10/2/2024)

Idaho
(10/2/2024)

Illinois
(9/26/2024)

Indiana
(10/2/2024)

Iowa
(10/2/2024)

Kansas
(10/2/2024)

Kentucky
(10/2/2024)

Louisiana
(10/2/2024)

Maine
(10/2/2024)

Maryland
(10/2/2024)

Massachusetts
(10/2/2024)

Michigan
(10/2/2024)

Minnesota
(10/2/2024)

Mississippi
(10/2/2024)

Missouri
(10/2/2024)

Montana
(10/2/2024)

Nebraska
(10/2/2024)

Nevada
(10/2/2024)

New Hampshire
(10/2/2024)

New Jersey
(10/2/2024)

New Mexico
(10/2/2024)

New York
(10/2/2024)

North Carolina
(10/2/2024)

North Dakota
(10/2/2024)

Ohio
(10/3/2024)

Oklahoma
(10/2/2024)

Oregon
(10/2/2024)

Pennsylvania
(10/2/2024)

Puerto Rico
(10/2/2024)

Rhode Island
(10/2/2024)

South Carolina
(10/2/2024)

South Dakota
(10/2/2024)

Tennessee
(10/2/2024)

Texas
(9/26/2024)

Utah
(10/2/2024)

Vermont
(10/2/2024)

Virgin Islands
(10/2/2024)

Virginia
(10/2/2024)

Washington
(10/2/2024)

West Virginia
(10/2/2024)

Wisconsin
(10/2/2024)

Wyoming
(10/2/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/1997

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Jeremy S. Eaton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeremy Scott Eaton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

FORTUNE FINANCIAL SERVICES, INC.

INVESTMENT RESEARCH CORP

WORLD CAPITAL BROKERAGE, INC.

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/1999

Series 63

Date: 11/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/29/1997

FINRA

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIDELITY BROKERAGE SERVICES LLC

TRUST BUT VERIFY

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