CC
Catherine A. Campos
FIDELITY BROKERAGE SERVICES LLC
Boston, MA 02210
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CRD#: 4821546
CC
Professional summary
Catherine Amend Campos, CFP®, who also goes by Catherine Plata Amend, Catherine Amend, Catherine Amend Campos, Catherine Amend De Natale, Catherine Amend Denatale, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 2004. Catherine has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Catherine Plata Amend | Catherine Amend | Catherine Amend Campos | Catherine Amend De Natale | Catherine Amend Denatale
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 Catherine Amend Campos'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
November 30, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210BD
CRD#: 7784
Boston, MA
Past
December 8, 2016 - November 4, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
San Francisco, CA
Past
January 4, 2016 - November 14, 2016
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
San Francisco, CA
Past
September 18, 2015 - September 22, 2015
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
San Francisco, CA
Past
September 17, 2015 - November 14, 2016
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
Past
September 2, 2004 - September 29, 2015
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SAN FRANCISCO, CA
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(1/16/2023)
RR
Alaska(1/16/2023)
RR
Arizona(1/16/2023)
RR
Arkansas(1/16/2023)
RR
California(11/30/2022)
RR
Colorado(1/16/2023)
RR
Connecticut(1/16/2023)
RR
Delaware(1/16/2023)
RR
District of Columbia(1/16/2023)
RR
Florida(1/16/2023)
RR
Georgia(1/16/2023)
RR
Hawaii(1/16/2023)
RR
Idaho(1/16/2023)
RR
Illinois(1/16/2023)
RR
Indiana(1/16/2023)
RR
Iowa(1/16/2023)
RR
Kansas(1/16/2023)
RR
Kentucky(1/16/2023)
RR
Louisiana(1/16/2023)
RR
Maine(1/16/2023)
RR
Maryland(1/16/2023)
RR
Massachusetts(11/30/2022)
RR
Michigan(1/16/2023)
RR
Minnesota(1/16/2023)
RR
Mississippi(1/16/2023)
RR
Missouri(1/16/2023)
RR
Montana(1/16/2023)
RR
Nebraska(1/16/2023)
RR
Nevada(1/16/2023)
RR
New Hampshire(1/16/2023)
RR
New Jersey(1/16/2023)
RR
New Mexico(1/16/2023)
RR
New York(1/16/2023)
RR
North Carolina(1/16/2023)
RR
North Dakota(1/16/2023)
RR
Ohio(1/17/2023)
RR
Oklahoma(1/16/2023)
RR
Oregon(1/16/2023)
RR
Pennsylvania(1/16/2023)
RR
Puerto Rico(1/16/2023)
RR
Rhode Island(1/16/2023)
RR
South Carolina(1/16/2023)
RR
South Dakota(1/16/2023)
RR
Tennessee(1/16/2023)
RR
Texas(11/30/2022)
RR
Utah(11/30/2022)
RR
Vermont(1/16/2023)
RR
Virgin Islands(1/16/2023)
RR
Virginia(1/16/2023)
RR
Washington(1/16/2023)
RR
West Virginia(1/16/2023)
RR
Wisconsin(1/16/2023)
RR
Wyoming(1/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Boston, MA 02210TRUST BUT VERIFY
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