James P. Cournoyer
Professional summary
James P Cournoyer, who also goes by James P Cournoyer, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James P Cournoyer's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917April 26, 2007 - April 19, 2023
NATIONAL FINANCIAL SERVICES LLC
January 17, 2007 - April 26, 2007
FIDELITY BROKERAGE SERVICES LLC
April 3, 2003 - January 17, 2007
NATIONAL FINANCIAL SERVICES LLC
September 26, 2000 - July 12, 2001
QUICK & REILLY, INC.
December 22, 1999 - September 1, 2000
MORGAN STANLEY DW 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
(2/16/2024)
(1/5/2024)
(1/8/2024)
(1/5/2024)
(1/5/2024)
(1/29/2024)
(1/5/2024)
(1/5/2024)
(1/5/2024)
Exams
Series 99TO
Date: 1/16/2023
Operations Professional ExaminationFINRA
New York Stock Exchange
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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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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