ST
Steven P. Travali
FIDELITY BROKERAGE SERVICES LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 4814321
ST
Professional summary
Steven Phillip Travali, who also goes by Steven P Travali, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Los Angeles, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven P Travali
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 Steven Phillip Travali'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
October 18, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 2000 Ave Of The Stars N. Tower, Los Angeles, CA 90067BD
CRD#: 7784
Los Angeles, CA
Past
October 23, 2015 - March 7, 2016
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 104599
LOS ANGELES, CA
Past
October 23, 2015 - March 7, 2016
VP DISTRIBUTORS LLC
BD
CRD#: 3036
LOS ANGELES, CA
Past
March 14, 2008 - September 16, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
July 10, 2006 - May 15, 2007
GRIFFIN, MILLS & LONG, LLC
BD
CRD#: 47778
SAN DIEGO, CA
Past
February 11, 2005 - May 25, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN DIEGO, CA
Past
February 11, 2005 - May 25, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 27, 2004 - February 15, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN DIEGO, CA
Past
September 13, 2004 - February 15, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 13, 2004 - February 15, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(7/2/2021)
RR
Alaska(10/31/2019)
RR
Arizona(10/29/2019)
RR
Arkansas(10/31/2019)
RR
California(10/29/2019)
RR
Colorado(11/12/2019)
RR
Connecticut(10/29/2019)
RR
Delaware(10/29/2019)
RR
District of Columbia(11/4/2019)
RR
Florida(10/30/2019)
RR
Georgia(7/2/2021)
RR
Hawaii(4/28/2021)
RR
Idaho(10/29/2019)
RR
Illinois(7/2/2021)
RR
Indiana(10/29/2019)
RR
Iowa(7/2/2021)
RR
Kansas(11/5/2019)
RR
Kentucky(7/2/2021)
RR
Louisiana(10/29/2019)
RR
Maine(10/30/2019)
RR
Maryland(7/2/2021)
RR
Massachusetts(10/30/2019)
RR
Michigan(7/2/2021)
RR
Minnesota(10/30/2019)
RR
Mississippi(10/30/2019)
RR
Missouri(7/2/2021)
RR
Montana(10/30/2019)
RR
Nebraska(10/29/2019)
RR
Nevada(11/12/2019)
RR
New Hampshire(11/1/2019)
RR
New Jersey(11/7/2019)
RR
New Mexico(10/30/2019)
RR
New York(7/2/2021)
RR
North Carolina(10/29/2019)
RR
North Dakota(11/4/2019)
RR
Ohio(10/29/2019)
RR
Oklahoma(10/29/2019)
RR
Oregon(11/5/2019)
RR
Pennsylvania(10/30/2019)
RR
Puerto Rico(11/1/2019)
RR
Rhode Island(11/5/2019)
RR
South Carolina(7/2/2021)
RR
South Dakota(7/2/2021)
RR
Tennessee(10/30/2019)
RR
Texas(10/29/2019)
RR
Utah(10/29/2019)
RR
Vermont(10/29/2019)
RR
Virgin Islands(10/30/2019)
RR
Virginia(10/30/2019)
RR
Washington(10/29/2019)
RR
West Virginia(11/13/2019)
RR
Wisconsin(7/2/2021)
RR
Wyoming(7/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/18/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
