TS
Terrance L. Swanson
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
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CRD#: 4987630
TS
Professional summary
Terrance L. Swanson, who also goes by Terrance L Swanson, Terrance Lamar Swanson, Terrance Swanson, Terry Lamar Swanson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Terrance is registered as a RR (Registered Representative) and started their career in finance in 2005. Terrance has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Terrance L Swanson | Terrance Lamar Swanson | Terrance Swanson | Terry Lamar Swanson
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.
*LYFT; SAME AS RESIDENCE; NON-INV REL; RIDE SHARE SERVICE; DRIVER; START DATE=09/2018; HRS/MO=16; TRADING HRS/MO=0; DRIVER; *UBER; SAME AS RESIDENCE; NON-INV REL; RIDE SHARE SERVICE; DRIVER; START DATE=09/2018; HRS/MO=16; TRADING HRS/MO=0;; DRIVER
CRS (Client Relationship Summary) - BD
Click below to view Terrance L. Swanson'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
December 16, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Magellan, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
November 1, 2021 - November 7, 2022
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
Cincinnati, OH
Past
April 9, 2019 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
CINCINNATI, OH
Past
February 25, 2019 - November 7, 2022
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
CINCINNATI, OH
Past
November 9, 2018 - December 11, 2018
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
WEST CHESTER, OH
Past
November 9, 2018 - December 11, 2018
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
March 31, 2017 - October 23, 2018
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
COLUMBUS, OH
Past
March 31, 2017 - October 23, 2018
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
COLUMBUS, OH
Past
February 29, 2016 - March 20, 2017
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
FLORENCE, KY
Past
February 29, 2016 - March 20, 2017
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
FLORENCE, KY
Past
February 19, 2009 - February 9, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CINCINNATI, OH
Past
May 30, 2008 - February 8, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CINCINNATI, OH
Past
July 22, 2005 - June 29, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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(12/16/2022)
RR
Alaska(12/16/2022)
RR
Arizona(12/16/2022)
RR
Arkansas(12/16/2022)
RR
California(12/16/2022)
RR
Colorado(12/16/2022)
RR
Connecticut(12/16/2022)
RR
Delaware(12/16/2022)
RR
District of Columbia(12/16/2022)
RR
Florida(12/16/2022)
RR
Georgia(12/16/2022)
RR
Hawaii(12/16/2022)
RR
Idaho(12/16/2022)
RR
Illinois(12/16/2022)
RR
Indiana(12/16/2022)
RR
Iowa(12/16/2022)
RR
Kansas(12/16/2022)
RR
Kentucky(12/16/2022)
RR
Louisiana(12/16/2022)
RR
Maine(12/16/2022)
RR
Maryland(12/16/2022)
RR
Massachusetts(12/16/2022)
RR
Michigan(12/16/2022)
RR
Minnesota(12/16/2022)
RR
Mississippi(12/16/2022)
RR
Missouri(12/16/2022)
RR
Montana(12/16/2022)
RR
Nebraska(12/16/2022)
RR
Nevada(12/16/2022)
RR
New Hampshire(12/16/2022)
RR
New Jersey(12/16/2022)
RR
New Mexico(12/16/2022)
RR
New York(12/16/2022)
RR
North Carolina(12/16/2022)
RR
North Dakota(12/16/2022)
RR
Ohio(12/16/2022)
RR
Oklahoma(12/16/2022)
RR
Oregon(12/16/2022)
RR
Pennsylvania(12/16/2022)
RR
Puerto Rico(12/16/2022)
RR
Rhode Island(12/16/2022)
RR
South Carolina(12/16/2022)
RR
South Dakota(12/16/2022)
RR
Tennessee(12/16/2022)
RR
Texas(12/16/2022)
RR
Utah(12/16/2022)
RR
Vermont(12/16/2022)
RR
Virgin Islands(12/16/2022)
RR
Virginia(12/16/2022)
RR
Washington(12/16/2022)
RR
West Virginia(12/16/2022)
RR
Wisconsin(12/16/2022)
RR
Wyoming(12/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Covington, KY 41015TRUST BUT VERIFY
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