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MR

Marvin Reaves

FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 4331753
MR

Professional summary

Marvin Reaves is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Marvin is registered as a RR (Registered Representative) and started their career in finance in 2001. Marvin has worked at 13 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marvin Reaves's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 5, 2023 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
Smithfield, RI
Past

July 27, 2022 - February 8, 2023

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MELVILLE, NY
Past

December 20, 2019 - March 12, 2020

RICHARD JAMES & ASSOCIATES, INC.

BD
CRD#: 169131
SYOSSET, NY
Past

July 20, 2016 - December 22, 2017

SW FINANCIAL

BD
CRD#: 145012
Melville, NY
Past

February 18, 2015 - December 11, 2015

BLACKBOOK CAPITAL, LLC

BD
CRD#: 123234
New York, NY
Past

September 9, 2011 - October 27, 2014

BLACKBOOK CAPITAL, LLC

BD
CRD#: 123234
NORTHPORT, NY
Past

September 28, 2009 - August 30, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
FRANKLIN SQUARE, NY
Past

May 22, 2008 - December 31, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

September 21, 2006 - May 19, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
UNIONDALE, NY
Past

January 24, 2006 - August 7, 2006

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
BAY SHORE, NY
Past

May 17, 2005 - September 28, 2005

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

June 4, 2004 - April 18, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 27, 2004 - June 8, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

May 17, 2001 - April 27, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY

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
(5/3/2023)
RR
Alaska
(5/3/2023)
RR
Arizona
(5/3/2023)
RR
Arkansas
(5/3/2023)
RR
California
(5/3/2023)
RR
Colorado
(5/3/2023)
RR
Connecticut
(4/5/2023)
RR
Delaware
(5/3/2023)
RR
District of Columbia
(5/3/2023)
RR
Florida
(5/3/2023)
RR
Georgia
(5/3/2023)
RR
Hawaii
(5/3/2023)
RR
Idaho
(5/3/2023)
RR
Illinois
(5/3/2023)
RR
Indiana
(5/3/2023)
RR
Iowa
(5/3/2023)
RR
Kansas
(5/3/2023)
RR
Kentucky
(5/3/2023)
RR
Louisiana
(5/3/2023)
RR
Maine
(5/3/2023)
RR
Maryland
(5/3/2023)
RR
Massachusetts
(5/3/2023)
RR
Michigan
(5/3/2023)
RR
Minnesota
(5/3/2023)
RR
Mississippi
(5/3/2023)
RR
Missouri
(5/3/2023)
RR
Montana
(5/3/2023)
RR
Nebraska
(5/3/2023)
RR
Nevada
(5/3/2023)
RR
New Hampshire
(5/3/2023)
RR
New Jersey
(4/25/2023)
RR
New Mexico
(5/3/2023)
RR
New York
(5/3/2023)
RR
North Carolina
(5/3/2023)
RR
North Dakota
(5/3/2023)
RR
Ohio
(5/4/2023)
RR
Oklahoma
(5/3/2023)
RR
Oregon
(5/3/2023)
RR
Pennsylvania
(5/3/2023)
RR
Puerto Rico
(5/3/2023)
RR
Rhode Island
(5/3/2023)
RR
South Carolina
(5/3/2023)
RR
South Dakota
(5/3/2023)
RR
Tennessee
(5/3/2023)
RR
Texas
(5/3/2023)
RR
Utah
(5/3/2023)
RR
Vermont
(5/3/2023)
RR
Virgin Islands
(5/3/2023)
RR
Virginia
(5/3/2023)
RR
Washington
(5/3/2023)
RR
West Virginia
(5/3/2023)
RR
Wisconsin
(5/3/2023)
RR
Wyoming
(5/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/5/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2001
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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 02917

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