AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WR

William C. Richards

FIDELITY BROKERAGE SERVICES
Merrimack, NH 03054
Some features on this profile are disabled
CRD#: 500230
WR

Professional summary

William C. Richards, who also goes by William Charles Richards II, William Charles Richards III, William Richards, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.

William is registered as a RR (Registered Representative) and started their career in finance in 1976. William has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Charles Richards Ii | William Charles Richards Iii | William Richards

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William C. Richards's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 11, 2025 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: Two Contra Way, Merrimack, NH 03054
BD
CRD#: 7784
Merrimack, NH
Past

January 1, 2008 - May 31, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PORTSMOUTH, NH
Past

January 1, 2008 - May 31, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PORTSMOUTH, NH
Past

July 19, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
PORTSMOUTH, NH
Past

May 9, 2002 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
PORTSMOUTH, NH
Past

January 22, 1988 - September 8, 1994

PERSHING LLC

BD
CRD#: 7560
Past

May 13, 1987 - March 19, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

July 22, 1982 - April 23, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 15, 1979 - May 21, 1982

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

October 21, 1976 - January 2, 1979

BEVILL, BRESLER & SCHULMAN INCORPORATED

BD
CRD#: 6971

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
(12/3/2025)
RR
Alaska
(12/3/2025)
RR
Arizona
(12/3/2025)
RR
Arkansas
(12/3/2025)
RR
California
(12/3/2025)
RR
Colorado
(12/3/2025)
RR
Connecticut
(12/3/2025)
RR
Delaware
(12/3/2025)
RR
District of Columbia
(12/3/2025)
RR
Florida
(12/3/2025)
RR
Georgia
(12/3/2025)
RR
Hawaii
(12/3/2025)
RR
Idaho
(12/3/2025)
RR
Illinois
(12/3/2025)
RR
Indiana
(12/3/2025)
RR
Iowa
(12/3/2025)
RR
Kansas
(12/3/2025)
RR
Kentucky
(12/3/2025)
RR
Louisiana
(12/3/2025)
RR
Maine
(12/3/2025)
RR
Maryland
(12/3/2025)
RR
Massachusetts
(12/3/2025)
RR
Michigan
(12/3/2025)
RR
Minnesota
(12/3/2025)
RR
Mississippi
(12/3/2025)
RR
Missouri
(12/3/2025)
RR
Montana
(12/3/2025)
RR
Nebraska
(12/3/2025)
RR
Nevada
(12/3/2025)
RR
New Hampshire
(11/25/2025)
RR
New Jersey
(12/3/2025)
RR
New Mexico
(12/3/2025)
RR
New York
(12/3/2025)
RR
North Carolina
(12/3/2025)
RR
North Dakota
(12/3/2025)
RR
Ohio
(12/3/2025)
RR
Oklahoma
(12/3/2025)
RR
Oregon
(12/3/2025)
RR
Pennsylvania
(12/3/2025)
RR
Puerto Rico
(12/3/2025)
RR
Rhode Island
(12/3/2025)
RR
South Carolina
(12/3/2025)
RR
South Dakota
(12/3/2025)
RR
Tennessee
(12/3/2025)
RR
Texas
(12/3/2025)
RR
Utah
(12/3/2025)
RR
Vermont
(12/3/2025)
RR
Virgin Islands
(12/3/2025)
RR
Virginia
(12/3/2025)
RR
Washington
(12/3/2025)
RR
West Virginia
(12/3/2025)
RR
Wisconsin
(12/3/2025)
RR
Wyoming
(12/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/10/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/14/1977
Registered Principal Examination
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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#: 7784Merrimack, NH 03054

TRUST BUT VERIFY

Monitor William Richards

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

AB
Andrea BaaseAdvisorCheck Check Mark
J.W. COLE FINANCIAL, INC.
RR
TAMPA, FL
Michael Edward Chadwick
Michael ChadwickAdvisorCheck Check Mark
FISCAL WISDOM WEALTH MANAGEMENT LLC
IAR
RR
Canton, CT
Richard Lee Cox SR
Richard CoxAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
CHATTANOOGA, TN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.