Scott B. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Brody Thomas, who also goes by Scott B Thomas, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - July 2, 2015
FIDELITY BROKERAGE SERVICES LLC
October 9, 2007 - September 18, 2017
STRATEGIC ADVISERS LLC
November 16, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
March 5, 2004 - November 1, 2005
WELLS FARGO INVESTMENTS, LLC
March 4, 2004 - November 1, 2005
WELLS FARGO INVESTMENTS, LLC
April 24, 2003 - September 17, 2003
KEYBANC CAPITAL MARKETS INC.
June 7, 2001 - February 12, 2003
STRATEGIC ADVISERS LLC
October 22, 1999 - February 12, 2003
FIDELITY BROKERAGE SERVICES LLC
May 14, 1998 - October 14, 1999
WMA SECURITIES, INC.
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
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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