Stephen F. Bae
Professional summary
Stephen F Bae, who also goes by Stephen Francis Bae, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in New York City, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen F Bae's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019June 15, 2009 - July 30, 2010
ADP BROKER-DEALER, INC.
January 1, 2008 - February 24, 2009
FIDELITY BROKERAGE SERVICES LLC
November 9, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
May 20, 2005 - November 9, 2006
NATIONAL FINANCIAL SERVICES LLC
January 6, 2004 - July 13, 2005
STRATEGIC ADVISERS LLC
February 7, 2001 - May 4, 2005
FIDELITY BROKERAGE SERVICES LLC
May 1, 2000 - February 7, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2013)
(8/11/2010)
(1/3/2013)
(9/24/2019)
(1/3/2013)
(3/23/2021)
(1/3/2013)
(9/25/2020)
(12/4/2020)
(5/1/2012)
(10/10/2023)
(10/10/2023)
(3/14/2022)
(1/26/2022)
(10/9/2023)
(7/25/2019)
(8/11/2010)
(8/11/2010)
(1/3/2013)
(12/13/2022)
(3/13/2019)
(1/3/2013)
(1/3/2013)
(3/5/2020)
(4/4/2022)
(4/21/2021)
Exams
FINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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