AF
Alison M. Fong
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 4000684
AF
Professional summary
Alison M Fong, who also goes by Alison M. Fong, Alison Michelle Fong, Alison M. Hipsher, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Alison is registered as a RR (Registered Representative) and started their career in finance in 1999. Alison has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alison M. Fong | Alison Michelle Fong | Alison M. Hipsher
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 Alison M Fong'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
September 10, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
February 6, 2023 - January 3, 2024
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
NEWTON, MA
Past
December 23, 2021 - January 3, 2024
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
NEWTON, MA
Past
June 29, 2015 - October 18, 2021
NORTHWEST ASSET MANAGEMENT
RIA
CRD#: 147923
GIG HARBOR, WA
Past
November 25, 2014 - June 26, 2015
PACIFIC ASSET MANAGEMENT, LLC
RIA
CRD#: 115157
PORT ORCHARD, WA
Past
March 20, 2003 - November 17, 2004
PACIFIC ASSET MANAGEMENT, LLC
RIA
CRD#: 115157
PORT ORCHARD, WA
Past
September 19, 2000 - April 4, 2001
CITY SECURITIES CORPORATION
BD
CRD#: 1459
INDIANAPOLIS, IN
Past
October 26, 1999 - October 12, 2000
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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(10/22/2024)
RR
Alaska(10/22/2024)
RR
Arizona(10/22/2024)
RR
Arkansas(10/22/2024)
RR
California(10/22/2024)
RR
Colorado(10/22/2024)
RR
Connecticut(10/22/2024)
RR
Delaware(10/22/2024)
RR
District of Columbia(10/22/2024)
RR
Florida(10/22/2024)
RR
Georgia(10/22/2024)
RR
Hawaii(10/22/2024)
RR
Idaho(10/22/2024)
RR
Illinois(10/22/2024)
RR
Indiana(10/22/2024)
RR
Iowa(10/22/2024)
RR
Kansas(10/22/2024)
RR
Kentucky(10/22/2024)
RR
Louisiana(10/22/2024)
RR
Maine(10/22/2024)
RR
Maryland(10/22/2024)
RR
Massachusetts(10/22/2024)
RR
Michigan(10/22/2024)
RR
Minnesota(10/22/2024)
RR
Mississippi(10/22/2024)
RR
Missouri(10/22/2024)
RR
Montana(10/22/2024)
RR
Nebraska(10/22/2024)
RR
Nevada(10/22/2024)
RR
New Hampshire(10/22/2024)
RR
New Jersey(10/22/2024)
RR
New Mexico(10/22/2024)
RR
New York(10/22/2024)
RR
North Carolina(10/22/2024)
RR
North Dakota(10/22/2024)
RR
Ohio(10/23/2024)
RR
Oklahoma(10/22/2024)
RR
Oregon(10/22/2024)
RR
Pennsylvania(10/22/2024)
RR
Puerto Rico(10/22/2024)
RR
Rhode Island(10/22/2024)
RR
South Carolina(10/22/2024)
RR
South Dakota(10/22/2024)
RR
Tennessee(10/22/2024)
RR
Texas(10/18/2024)
RR
Utah(10/22/2024)
RR
Vermont(10/22/2024)
RR
Virgin Islands(10/22/2024)
RR
Virginia(10/22/2024)
RR
Washington(10/18/2024)
RR
West Virginia(10/22/2024)
RR
Wisconsin(10/22/2024)
RR
Wyoming(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
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
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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