Richard G. Phipps
Professional summary
Richard Gilbert Phipps, who also goes by Richard Gilbert Phipps, Richard Phipps, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jersey City, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 4 firms and has passed the SIE, Series 99 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Gilbert Phipps's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310September 21, 2018 - March 27, 2025
NATIONAL FINANCIAL SERVICES LLC
September 15, 2017 - January 16, 2018
MORGAN STANLEY
March 18, 1998 - September 13, 2012
PRUCO SECURITIES, 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
FINRA
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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