JD
Jim K. Dang
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 4503996
JD
Professional summary
Jim K. Dang, who also goes by Jim Kha Dang, Jim K. Dang, Jim Dang, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Jim is registered as a RR (Registered Representative) and started their career in finance in 2002. Jim has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Kha Dang | Jim K. Dang | Jim Dang
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 Jim K. Dang'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
February 20, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
March 10, 2014 - March 15, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Houston, TX
Past
September 28, 2011 - January 31, 2014
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
KINGWOOD, TX
Past
February 4, 2011 - June 15, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
Past
August 8, 2006 - April 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HOUSTON, TX
Past
April 5, 2005 - October 19, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
May 5, 2003 - February 4, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
May 21, 2002 - April 30, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 21, 2002 - April 30, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(2/26/2025)
RR
Alaska(2/26/2025)
RR
Arizona(2/26/2025)
RR
Arkansas(2/26/2025)
RR
California(2/26/2025)
RR
Colorado(2/26/2025)
RR
Connecticut(2/26/2025)
RR
Delaware(2/26/2025)
RR
District of Columbia(2/26/2025)
RR
Florida(2/26/2025)
RR
Georgia(2/26/2025)
RR
Hawaii(2/26/2025)
RR
Idaho(2/26/2025)
RR
Illinois(2/26/2025)
RR
Indiana(2/26/2025)
RR
Iowa(2/26/2025)
RR
Kansas(2/26/2025)
RR
Kentucky(2/26/2025)
RR
Louisiana(2/26/2025)
RR
Maine(2/26/2025)
RR
Maryland(2/26/2025)
RR
Massachusetts(2/26/2025)
RR
Michigan(2/26/2025)
RR
Minnesota(2/26/2025)
RR
Mississippi(2/26/2025)
RR
Missouri(2/26/2025)
RR
Montana(2/26/2025)
RR
Nebraska(2/26/2025)
RR
Nevada(2/26/2025)
RR
New Hampshire(2/26/2025)
RR
New Jersey(2/26/2025)
RR
New Mexico(2/26/2025)
RR
New York(2/26/2025)
RR
North Carolina(2/26/2025)
RR
North Dakota(2/26/2025)
RR
Ohio(2/28/2025)
RR
Oklahoma(2/26/2025)
RR
Oregon(2/26/2025)
RR
Pennsylvania(2/26/2025)
RR
Puerto Rico(2/26/2025)
RR
Rhode Island(2/26/2025)
RR
South Carolina(2/26/2025)
RR
South Dakota(2/26/2025)
RR
Tennessee(2/26/2025)
RR
Texas(2/20/2025)
RR
Utah(2/26/2025)
RR
Vermont(2/26/2025)
RR
Virgin Islands(2/26/2025)
RR
Virginia(2/26/2025)
RR
Washington(2/26/2025)
RR
West Virginia(2/26/2025)
RR
Wisconsin(2/26/2025)
RR
Wyoming(2/26/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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