BG
Brian J. Giles
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 2989177
BG
Professional summary
Brian J. Giles, who also goes by Brian Joseph Giles, Brian Giles, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Joseph Giles | Brian Giles
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 Brian J. Giles'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
February 2, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
March 3, 2015 - January 10, 2024
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
INDIANAPOLIS, IN
Past
March 3, 2015 - January 10, 2024
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
January 1, 2012 - January 26, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
INDIANAPOLIS, IN
Past
December 7, 2011 - January 26, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
INDIANAPOLIS, IN
Past
September 28, 2006 - June 27, 2011
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
INDIANAPOLIS, IN
Past
July 7, 2006 - June 27, 2011
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
INDIANAPOLIS, IN
Past
September 23, 1998 - December 3, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
April 16, 1998 - August 7, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 16, 1998 - August 7, 1998
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(2/2/2024)
RR
Alaska(2/2/2024)
RR
Arizona(2/2/2024)
RR
Arkansas(2/2/2024)
RR
California(2/2/2024)
RR
Colorado(2/2/2024)
RR
Connecticut(2/2/2024)
RR
Delaware(2/2/2024)
RR
District of Columbia(2/2/2024)
RR
Florida(2/2/2024)
RR
Georgia(2/2/2024)
RR
Hawaii(2/2/2024)
RR
Idaho(2/2/2024)
RR
Illinois(2/2/2024)
RR
Indiana(2/2/2024)
RR
Iowa(2/2/2024)
RR
Kansas(2/2/2024)
RR
Kentucky(2/2/2024)
RR
Louisiana(2/2/2024)
RR
Maine(2/2/2024)
RR
Maryland(2/2/2024)
RR
Massachusetts(2/2/2024)
RR
Michigan(2/2/2024)
RR
Minnesota(2/2/2024)
RR
Mississippi(2/2/2024)
RR
Missouri(2/2/2024)
RR
Montana(2/2/2024)
RR
Nebraska(2/2/2024)
RR
Nevada(2/2/2024)
RR
New Hampshire(2/2/2024)
RR
New Jersey(2/2/2024)
RR
New Mexico(2/2/2024)
RR
New York(2/2/2024)
RR
North Carolina(2/2/2024)
RR
North Dakota(2/2/2024)
RR
Ohio(2/2/2024)
RR
Oklahoma(2/2/2024)
RR
Oregon(2/2/2024)
RR
Pennsylvania(2/2/2024)
RR
Puerto Rico(2/2/2024)
RR
Rhode Island(2/2/2024)
RR
South Carolina(2/2/2024)
RR
South Dakota(2/2/2024)
RR
Tennessee(2/2/2024)
RR
Texas(2/2/2024)
RR
Utah(2/2/2024)
RR
Vermont(2/2/2024)
RR
Virgin Islands(2/2/2024)
RR
Virginia(2/2/2024)
RR
Washington(2/2/2024)
RR
West Virginia(2/2/2024)
RR
Wisconsin(2/2/2024)
RR
Wyoming(2/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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