Kristopher N. Squires
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.
Kristopher Nicholas Squires, who also goes by Kris Squires, Kristopher Nicholas Squires, Kristopher N Squires, Kristopher Squires, was a registered financial professional .
Kristopher is a previously registered financial professional and started their career in finance in 2003. Kristopher had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2025 - January 29, 2026
FIDELITY BROKERAGE SERVICES LLC
September 29, 2023 - July 13, 2024
J.P. MORGAN SECURITIES LLC
June 17, 2022 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
December 20, 2018 - December 31, 2021
PFS INVESTMENTS INC.
October 7, 2016 - January 6, 2017
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 11, 2013 - October 20, 2014
WEDBUSH SECURITIES INC.
August 5, 2004 - March 30, 2006
CITICORP INVESTMENT SERVICES
August 5, 2004 - March 30, 2006
CITICORP INVESTMENT SERVICES
June 20, 2003 - November 10, 2003
A.B. WATLEY, 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
Series 55
Date: 8/15/2003
Limited Representative-Equity Trader ExamCurrent 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 |
| 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 | 126 |
Red Flags
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