Ryan C. Plotner
Professional summary
Ryan Christopher Plotner, who also goes by Ryan C Plotner, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 1998. Ryan has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ryan Christopher Plotner's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2006 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210May 21, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210September 18, 2020 - February 21, 2023
FIDELITY DISTRIBUTORS COMPANY LLC
July 4, 2005 - September 25, 2006
FIDELITY BROKERAGE SERVICES LLC
December 11, 1998 - June 27, 2000
BANC OF AMERICA 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
(9/25/2006)
(9/25/2006)
(9/25/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
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
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#: 7784Boston, MA 02210TRUST BUT VERIFY
Monitor Ryan Plotner
Get automatic monthly alerts on:
