CA
Colleen Arguello
FIDELITY BROKERAGE SERVICES
OCEANSIDE, NY
Some features on this profile are disabled
CRD#: 3125423
CA
Professional summary
Colleen Arguello, who also goes by Colleen Marie Arguello, Colleen Arguello, Colleen Marie Holmes, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Oceanside, New York and NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Colleen is registered as a RR (Registered Representative) and started their career in finance in 1998. Colleen has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Colleen Marie Arguello | Colleen Arguello | Colleen Marie Holmes
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 Colleen Arguello'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
October 29, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #2: 499 Washington Blvd, Jersey City, NJ 07310BD
CRD#: 7784
OCEANSIDE, NY
Current
March 19, 2026 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310BD
CRD#: 13041
Jersey City, NJ
Past
October 1, 2021 - September 29, 2025
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
September 23, 2021 - September 29, 2025
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
Past
August 21, 2018 - September 5, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
New York, NY
Past
November 12, 2003 - July 18, 2018
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
NEW YORK, NY
Past
August 1, 2002 - July 8, 2003
NORFOLK MARKETS, LLC
BD
CRD#: 103797
NEW YORK, NY
Past
December 2, 1998 - September 6, 2002
CAREY FINANCIAL, LLC
BD
CRD#: 15246
NEW YORK, NY
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(10/29/2025)
RR
Alaska(10/29/2025)
RR
Arizona(10/29/2025)
RR
Arkansas(10/29/2025)
RR
California(10/29/2025)
RR
Colorado(10/29/2025)
RR
Connecticut(10/29/2025)
RR
Delaware(10/29/2025)
RR
District of Columbia(10/29/2025)
RR
Florida(10/29/2025)
RR
Georgia(10/29/2025)
RR
Hawaii(10/29/2025)
RR
Idaho(10/29/2025)
RR
Illinois(10/29/2025)
RR
Indiana(10/29/2025)
RR
Iowa(10/29/2025)
RR
Kansas(10/29/2025)
RR
Kentucky(10/29/2025)
RR
Louisiana(10/29/2025)
RR
Maine(10/29/2025)
RR
Maryland(10/29/2025)
RR
Massachusetts(10/29/2025)
RR
Michigan(10/29/2025)
RR
Minnesota(10/29/2025)
RR
Mississippi(10/29/2025)
RR
Missouri(10/29/2025)
RR
Montana(10/29/2025)
RR
Nebraska(10/29/2025)
RR
Nevada(10/29/2025)
RR
New Hampshire(10/29/2025)
RR
New Jersey(10/29/2025)
RR
New Mexico(10/29/2025)
RR
New York(10/29/2025)
RR
North Carolina(10/29/2025)
RR
North Dakota(10/29/2025)
RR
Ohio(10/29/2025)
RR
Oklahoma(10/29/2025)
RR
Oregon(10/29/2025)
RR
Pennsylvania(10/29/2025)
RR
Puerto Rico(10/29/2025)
RR
Rhode Island(10/29/2025)
RR
South Carolina(10/29/2025)
RR
South Dakota(10/29/2025)
RR
Tennessee(10/29/2025)
RR
Texas(10/29/2025)
RR
Utah(10/29/2025)
RR
Vermont(10/29/2025)
RR
Virgin Islands(10/29/2025)
RR
Virginia(10/29/2025)
RR
Washington(10/29/2025)
RR
West Virginia(10/29/2025)
RR
Wisconsin(10/29/2025)
RR
Wyoming(10/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 3/19/2026
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
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
2,100
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
