Kelly M. Gushue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kelly M Gushue, who also goes by Kelly Gushue, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2001. Kelly had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2023 - March 28, 2024
FIDELITY BROKERAGE SERVICES LLC
October 13, 2020 - February 23, 2023
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
September 21, 2020 - February 21, 2023
FIDELITY DISTRIBUTORS COMPANY LLC
December 2, 2015 - January 4, 2017
NATIXIS DISTRIBUTION, LLC
September 9, 2015 - December 2, 2015
ALLIANCEBERNSTEIN L.P.
April 13, 2015 - December 2, 2015
SANFORD C. BERNSTEIN & CO., LLC
September 18, 2006 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
August 30, 2006 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
May 1, 2001 - October 23, 2002
J.P. MORGAN SECURITIES INC.
February 14, 2001 - May 1, 2001
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/21/2020
General Securities Representative ExaminationCurrent 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 |
| 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 | 126 |
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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