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JW

Jennifer Wallace

FIDELITY BROKERAGE SERVICES LLC
SACRAMENTO, CA 95825
Some features on this profile are disabled
CRD#: 2987641
JW

Professional summary

Jennifer Wallace, who also goes by Jennifer Lynn Bertagnolli, Jennifer Bertagnolli, Jennifer Lynn Wallace, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Sacramento, California.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 1997. Jennifer has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Lynn Bertagnolli | Jennifer Bertagnolli | Jennifer Lynn Wallace

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 Jennifer Wallace'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

July 5, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 2277 Fair Oaks Blvd Stes 150,155, Sacramento, CA 95825
BD
CRD#: 7784
SACRAMENTO, CA
Past

June 8, 2021 - April 5, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BEND, OR
Past

February 24, 2021 - April 5, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BEND, OR
Past

December 18, 2018 - June 10, 2019

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

October 16, 2006 - January 19, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
PORTLAND, OR
Past

May 11, 1998 - February 3, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

December 19, 1997 - May 5, 1998

BROKERAGE ADMINISTRATORS CORPORATION

BD
CRD#: 37432
ENGLEWOOD, CO

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
Arizona
(7/5/2022)
RR
California
(7/5/2022)
RR
Colorado
(7/5/2022)
RR
Nevada
(7/5/2022)
RR
New Mexico
(7/5/2022)
RR
Oregon
(7/5/2022)
RR
Texas
(1/4/2025)
RR
Utah
(7/5/2022)
RR
Vermont
(7/5/2022)
RR
Virgin Islands
(7/5/2022)
RR
Washington
(7/5/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/2/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/9/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/12/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

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

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

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
(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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MAHNA, ROHITHEAD OF CLIENT GROWTH4078386
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration124

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 BROKERAGE SERVICES LLC

CRD#: 7784Sacramento, CA 95825

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