PR
Paul M. Rowe
FIDELITY BROKERAGE SERVICES LLC
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 4699476
PR
Professional summary
Paul Mckay Rowe, who also goes by Paul Mckay Rowe, Paul Rowe, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Mckay Rowe | Paul Rowe
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 Paul Mckay Rowe'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
March 26, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
February 8, 2017 - November 11, 2020
ASSETMARK, INC.
RIA
CRD#: 109018
Chicago, IL
Past
February 8, 2017 - November 11, 2020
ASSETMARK BROKERAGE, LLC
BD
CRD#: 169804
Chicago, IL
Past
April 22, 2015 - January 12, 2017
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
LISLE, IL
Past
April 22, 2015 - January 12, 2017
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
LISLE, IL
Past
March 31, 2015 - April 23, 2015
AMERICAFIRST SECURITIES, INC.
BD
CRD#: 47071
ROSEVILLE, CA
Past
August 6, 2013 - December 31, 2013
AMERICAFIRST CAPITAL MANAGEMENT, LLC
RIA
CRD#: 152248
GRANITE BAY, CA
Past
August 5, 2013 - December 31, 2013
AMERICAFIRST SECURITIES, INC.
BD
CRD#: 47071
ROSEVILLE, CA
Past
November 4, 2010 - August 5, 2013
ASSETMARK, INC.
RIA
CRD#: 109018
CONCORD, CA
Past
November 3, 2010 - August 5, 2013
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 21, 2008 - February 24, 2009
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
WHEATON, IL
Past
September 17, 2003 - February 24, 2009
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
LISLE, IL
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(4/5/2021)
RR
Alaska(4/5/2021)
RR
Arizona(4/5/2021)
RR
Arkansas(4/5/2021)
RR
California(3/30/2021)
RR
Colorado(4/7/2021)
RR
Connecticut(3/30/2021)
RR
Delaware(4/9/2021)
RR
District of Columbia(3/31/2021)
RR
Florida(3/30/2021)
RR
Georgia(3/30/2021)
RR
Hawaii(4/20/2021)
RR
Idaho(3/30/2021)
RR
Illinois(4/14/2021)
RR
Indiana(4/6/2021)
RR
Iowa(4/2/2021)
RR
Kansas(3/30/2021)
RR
Kentucky(4/5/2021)
RR
Louisiana(4/6/2021)
RR
Maine(3/30/2021)
RR
Maryland(3/30/2021)
RR
Massachusetts(5/11/2021)
RR
Michigan(3/31/2021)
RR
Minnesota(4/8/2021)
RR
Mississippi(4/8/2021)
RR
Missouri(6/29/2021)
RR
Montana(3/30/2021)
RR
Nebraska(4/7/2021)
RR
Nevada(4/7/2021)
RR
New Hampshire(3/30/2021)
RR
New Jersey(4/5/2021)
RR
New Mexico(4/5/2021)
RR
New York(4/11/2021)
RR
North Carolina(3/30/2021)
RR
North Dakota(4/5/2021)
RR
Ohio(3/30/2021)
RR
Oklahoma(4/5/2021)
RR
Oregon(4/6/2021)
RR
Pennsylvania(3/30/2021)
RR
Puerto Rico(3/30/2021)
RR
Rhode Island(4/8/2021)
RR
South Carolina(4/7/2021)
RR
South Dakota(4/8/2021)
RR
Tennessee(4/5/2021)
RR
Texas(3/29/2021)
RR
Utah(3/26/2021)
RR
Vermont(4/5/2021)
RR
Virgin Islands(4/7/2021)
RR
Virginia(4/1/2021)
RR
Washington(4/5/2021)
RR
West Virginia(4/5/2021)
RR
Wisconsin(3/30/2021)
RR
Wyoming(4/5/2021)
Exams
State Security Law Exam
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#: 7784Salt Lake City, UT 84101TRUST BUT VERIFY
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