Rui B Pacheco
Professional Summary
Rui B Pacheco is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Johnston, Rhode Island. Rui is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Rui has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Disclosures on record.
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.
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Years of Experience
22 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Current Firm
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
Contact Information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02919Mailing Address
200 Station Drive Mws414, Westwood, MA 02090Phone Number
(781) 364-1641Established
Rhode Island since 09/21/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
471SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
60,545AUM (Assets Under Management)
$12,868,719,975Disclosures
Regulatory Event
16Arbitration
6Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
State Registrations and Notice Filings
(12/5/2014)
(12/5/2014)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2004About the Series 6 examSRO Registrations
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Rui B Pacheco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rui B Pacheco's CRS (Customer Relationship Summary).
Similar Advisors
FIDELITY BROKERAGE SERVICES LLC