ED
Erik L. Diaz
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
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CRD#: 4618143
ED
Professional summary
Erik L. Diaz, who also goes by Erik L Diaz, Erik Luis Diaz, Erik Diaz, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2003. Erik has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erik L Diaz | Erik Luis Diaz | Erik Diaz
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 Erik L. Diaz'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
May 30, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
November 16, 2009 - April 19, 2023
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
SMITHFIELD, RI
Past
June 9, 2005 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PROVIDENCE, RI
Past
January 6, 2005 - April 12, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
June 2, 2003 - February 22, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, 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(3/8/2025)
RR
Alaska(3/8/2025)
RR
Arizona(2/25/2025)
RR
Arkansas(3/8/2025)
RR
California(3/8/2025)
RR
Colorado(1/4/2025)
RR
Connecticut(1/6/2025)
RR
Delaware(3/8/2025)
RR
District of Columbia(1/4/2025)
RR
Florida(1/4/2025)
RR
Georgia(3/8/2025)
RR
Hawaii(3/8/2025)
RR
Idaho(1/22/2025)
RR
Illinois(3/8/2025)
RR
Indiana(3/8/2025)
RR
Iowa(3/8/2025)
RR
Kansas(3/8/2025)
RR
Kentucky(3/8/2025)
RR
Louisiana(1/4/2025)
RR
Maine(3/8/2025)
RR
Maryland(1/4/2025)
RR
Massachusetts(3/8/2025)
RR
Michigan(3/8/2025)
RR
Minnesota(3/8/2025)
RR
Mississippi(3/8/2025)
RR
Missouri(3/8/2025)
RR
Montana(3/8/2025)
RR
Nebraska(3/8/2025)
RR
Nevada(3/8/2025)
RR
New Hampshire(3/8/2025)
RR
New Jersey(3/8/2025)
RR
New Mexico(3/8/2025)
RR
New York(3/8/2025)
RR
North Carolina(3/8/2025)
RR
North Dakota(3/8/2025)
RR
Ohio(3/10/2025)
RR
Oklahoma(3/8/2025)
RR
Oregon(3/8/2025)
RR
Pennsylvania(3/8/2025)
RR
Puerto Rico(1/4/2025)
RR
Rhode Island(3/8/2025)
RR
South Carolina(3/8/2025)
RR
South Dakota(3/8/2025)
RR
Tennessee(3/8/2025)
RR
Texas(3/8/2025)
RR
Utah(3/8/2025)
RR
Vermont(3/8/2025)
RR
Virgin Islands(3/8/2025)
RR
Virginia(3/8/2025)
RR
Washington(3/8/2025)
RR
West Virginia(3/8/2025)
RR
Wisconsin(3/8/2025)
RR
Wyoming(3/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/30/2023
Operations Professional ExaminationGeneral 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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