Joseph L. Hampel
Professional summary
Joseph Leonard Hampel, who also goes by Joe Leonard Hampel, Joe Hampel, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Leonard Hampel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015November 12, 2014 - September 20, 2021
CUNA BROKERAGE SERVICES, INC.
November 12, 2014 - September 20, 2021
CUNA BROKERAGE SERVICES, INC.
July 2, 2014 - November 10, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 1, 2014 - November 10, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 11, 2013 - May 30, 2014
VALIC FINANCIAL ADVISORS, INC.
November 11, 2013 - May 30, 2014
VALIC FINANCIAL ADVISORS, INC.
August 2, 2010 - November 11, 2013
LINCOLN INVESTMENT
August 2, 2010 - November 11, 2013
LINCOLN INVESTMENT
June 4, 2007 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 1, 2006 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 6, 2005 - April 13, 2006
FIDELITY BROKERAGE SERVICES LLC
February 10, 2005 - October 12, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Covington, KY 41015TRUST BUT VERIFY
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