YU
Yari Usherov
FIDELITY DISTRIBUTORS COMPANY LLC
Smithfield, RI 02917
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CRD#: 3226889
YU
Professional summary
Yari Usherov is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
Yari is registered as a RR (Registered Representative) and started their career in finance in 1999. Yari has worked at 7 firms and has passed the Series 63, Series 7TO, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Yari Usherov'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
November 18, 2020 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
June 25, 2012 - November 28, 2014
SILVER LEAF PARTNERS, LLC
BD
CRD#: 126694
NEW YORK, NY
Past
September 9, 2010 - September 23, 2011
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
MIAMI, FL
Past
June 20, 2007 - January 16, 2008
OLD MUTUAL FINANCIAL NETWORK SECURITIES, INC.
BD
CRD#: 141375
BALTIMORE, MD
Past
April 15, 2005 - October 31, 2005
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
November 17, 2000 - May 15, 2003
SAGE DISTRIBUTORS, INC.
BD
CRD#: 44831
STAMFORD, CT
Past
July 2, 1999 - October 23, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
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(11/19/2020)
RR
Alaska(11/19/2020)
RR
Arizona(11/30/2020)
RR
Arkansas(11/19/2020)
RR
California(11/19/2020)
RR
Colorado(11/20/2020)
RR
Connecticut(11/18/2020)
RR
Delaware(11/23/2020)
RR
District of Columbia(11/20/2020)
RR
Florida(11/19/2020)
RR
Georgia(11/19/2020)
RR
Hawaii(11/19/2020)
RR
Idaho(11/18/2020)
RR
Illinois(12/2/2020)
RR
Indiana(11/18/2020)
RR
Iowa(11/19/2020)
RR
Kansas(11/20/2020)
RR
Kentucky(11/19/2020)
RR
Louisiana(11/24/2020)
RR
Maine(11/19/2020)
RR
Maryland(11/19/2020)
RR
Massachusetts(11/19/2020)
RR
Michigan(11/20/2020)
RR
Minnesota(11/19/2020)
RR
Mississippi(11/19/2020)
RR
Missouri(11/18/2020)
RR
Montana(11/19/2020)
RR
Nebraska(11/19/2020)
RR
Nevada(12/1/2020)
RR
New Hampshire(11/18/2020)
RR
New Jersey(11/18/2020)
RR
New Mexico(11/19/2020)
RR
New York(11/19/2020)
RR
North Carolina(11/18/2020)
RR
North Dakota(11/23/2020)
RR
Ohio(11/18/2020)
RR
Oklahoma(11/19/2020)
RR
Oregon(11/19/2020)
RR
Pennsylvania(11/19/2020)
RR
Puerto Rico(11/18/2020)
RR
Rhode Island(11/19/2020)
RR
South Carolina(11/19/2020)
RR
South Dakota(11/23/2020)
RR
Tennessee(11/19/2020)
RR
Texas(11/20/2020)
RR
Utah(11/19/2020)
RR
Vermont(11/19/2020)
RR
Virginia(11/19/2020)
RR
Washington(11/19/2020)
RR
West Virginia(11/23/2020)
RR
Wisconsin(11/20/2020)
RR
Wyoming(11/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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 DISTRIBUTORS COMPANY LLC
CRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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