ND
Neil A. Delaney
FIDELITY DISTRIBUTORS COMPANY LLC
BOSTON, MA 02210
Some features on this profile are disabled
CRD#: 4360241
ND
Professional summary
Neil Andrew Delaney, CFA, who also goes by Neil Andrew Delaney, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Boston, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Neil is registered as a RR (Registered Representative) and started their career in finance in 2001. Neil has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Neil Andrew Delaney
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 Neil Andrew Delaney'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®
Experience
Current
December 15, 2015 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 155 Seaport Blvd, Boston, MA 02210BD
CRD#: 17507
BOSTON, MA
Current
January 30, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 7784
Boston, MA
Past
February 16, 2012 - June 14, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
March 11, 2009 - December 31, 2011
CLARK INVESTMENT STRATEGIES, INC.
RIA
CRD#: 145853
DALLAS, TX
Past
March 11, 2009 - January 3, 2012
CLARK SECURITIES, INC.
BD
CRD#: 43803
GREENSBORO, NC
Past
April 26, 2004 - December 1, 2008
CULLUM & BURKS SECURITIES, INC.
RIA
CRD#: 46600
DALLAS, TX
Past
April 26, 2004 - December 1, 2008
CULLUM & BURKS SECURITIES, INC.
BD
CRD#: 46600
DALLAS, TX
Past
April 10, 2001 - November 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
April 3, 2001 - November 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(6/10/2016)
RR
Alaska(6/10/2016)
RR
Arizona(6/10/2016)
RR
Arkansas(6/10/2016)
RR
California(6/10/2016)
RR
Colorado(6/10/2016)
RR
Connecticut(6/10/2016)
RR
Delaware(6/10/2016)
RR
District of Columbia(6/10/2016)
RR
Florida(6/10/2016)
RR
Georgia(6/10/2016)
RR
Hawaii(6/10/2016)
RR
Idaho(6/10/2016)
RR
Illinois(6/10/2016)
RR
Indiana(6/10/2016)
RR
Iowa(6/10/2016)
RR
Kansas(6/10/2016)
RR
Kentucky(6/10/2016)
RR
Louisiana(6/10/2016)
RR
Maine(6/10/2016)
RR
Maryland(6/10/2016)
RR
Massachusetts(6/10/2016)
RR
Michigan(6/10/2016)
RR
Minnesota(6/10/2016)
RR
Mississippi(6/10/2016)
RR
Missouri(6/10/2016)
RR
Montana(6/10/2016)
RR
Nebraska(6/10/2016)
RR
Nevada(6/10/2016)
RR
New Hampshire(6/10/2016)
RR
New Jersey(6/10/2016)
RR
New Mexico(6/10/2016)
RR
New York(6/10/2016)
RR
North Carolina(6/10/2016)
RR
North Dakota(6/10/2016)
RR
Ohio(6/10/2016)
RR
Oklahoma(6/10/2016)
RR
Oregon(6/10/2016)
RR
Pennsylvania(6/10/2016)
RR
Puerto Rico(6/10/2016)
RR
Rhode Island(6/10/2016)
RR
South Carolina(6/10/2016)
RR
South Dakota(6/10/2016)
RR
Tennessee(6/10/2016)
RR
Texas(6/10/2016)
RR
Utah(6/10/2016)
RR
Vermont(6/10/2016)
RR
Virgin Islands(1/30/2024)
RR
Virginia(6/10/2016)
RR
Washington(6/10/2016)
RR
West Virginia(6/10/2016)
RR
Wisconsin(6/10/2016)
RR
Wyoming(6/10/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 11/5/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO 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#: 7784Boston, MA 02210TRUST BUT VERIFY
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