JC
James L. Chatelain
FIDELITY BROKERAGE SERVICES LLC
Salt Lake City, UT 84101
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CRD#: 4264200
JC
Professional summary
James L Chatelain, who also goes by James Louis Chatelain, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Louis Chatelain
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 James L Chatelain'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 29, 2007 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
September 14, 2007 - October 18, 2007
INSPHERE SECURITIES, INC.
RIA
CRD#: 136433
OREM, UT
Past
July 20, 2007 - September 14, 2007
ALLEGIS ADVISORS, INC.
RIA
CRD#: 131242
SALT LAKE CITY, UT
Past
July 20, 2007 - October 18, 2007
INSPHERE SECURITIES, INC.
BD
CRD#: 136433
OREM, UT
Past
May 18, 2006 - August 10, 2007
EQUITY SERVICES, INC.
BD
CRD#: 265
ST. GEORGE, UT
Past
April 18, 2001 - April 22, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 16, 2000 - April 6, 2001
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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(11/6/2018)
RR
Alaska(11/6/2018)
RR
Arizona(11/6/2018)
RR
Arkansas(11/6/2018)
RR
California(11/6/2018)
RR
Colorado(11/6/2018)
RR
Connecticut(11/6/2018)
RR
Delaware(11/6/2018)
RR
District of Columbia(11/6/2018)
RR
Florida(11/6/2018)
RR
Georgia(11/6/2018)
RR
Hawaii(11/6/2018)
RR
Idaho(11/6/2018)
RR
Illinois(11/6/2018)
RR
Indiana(11/6/2018)
RR
Iowa(11/6/2018)
RR
Kansas(11/6/2018)
RR
Kentucky(11/6/2018)
RR
Louisiana(11/6/2018)
RR
Maine(11/6/2018)
RR
Maryland(11/6/2018)
RR
Massachusetts(12/3/2007)
RR
Michigan(11/6/2018)
RR
Minnesota(11/6/2018)
RR
Mississippi(11/6/2018)
RR
Missouri(11/6/2018)
RR
Montana(11/6/2018)
RR
Nebraska(11/6/2018)
RR
Nevada(11/6/2018)
RR
New Hampshire(11/6/2018)
RR
New Jersey(11/6/2018)
RR
New Mexico(11/6/2018)
RR
New York(11/6/2018)
RR
North Carolina(11/7/2018)
RR
North Dakota(11/6/2018)
RR
Ohio(11/7/2018)
RR
Oklahoma(11/6/2018)
RR
Oregon(11/6/2018)
RR
Pennsylvania(11/6/2018)
RR
Puerto Rico(11/6/2018)
RR
Rhode Island(11/6/2018)
RR
South Carolina(11/6/2018)
RR
South Dakota(11/6/2018)
RR
Tennessee(11/6/2018)
RR
Texas(1/15/2008)
RR
Utah(11/30/2007)
RR
Vermont(11/6/2018)
RR
Virgin Islands(11/6/2018)
RR
Virginia(11/6/2018)
RR
Washington(11/6/2018)
RR
West Virginia(11/6/2018)
RR
Wisconsin(11/6/2018)
RR
Wyoming(11/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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