SS
Sarah M. Silveira
FIDELITY BROKERAGE SERVICES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5107812
SS
Professional summary
Sarah Marie Silveira, who also goes by Sarah Marie Silveira, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California.
Sarah is registered as a RR (Registered Representative) and started their career in finance in 2006. Sarah has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sarah Marie Silveira
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 Sarah Marie Silveira'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
May 31, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111BD
CRD#: 7784
San Francisco, CA
Past
June 14, 2013 - May 25, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
San Francisco, CA
Past
September 10, 2012 - July 18, 2013
PRESIDIO CAPITAL ADVISORS LLC
RIA
CRD#: 108531
SAN FRANCISCO, CA
Past
September 10, 2012 - December 17, 2012
PRESIDIO MERCHANT PARTNERS LLC
BD
CRD#: 46473
SAN FRANCISCO, CA
Past
September 21, 2009 - September 11, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SAN FRANCISCO, CA
Past
September 18, 2009 - September 11, 2012
MORGAN STANLEY
BD
CRD#: 149777
SAN FRANCISCO, CA
Past
June 23, 2008 - September 14, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SAN FRANCISCO, CA
Past
October 4, 2006 - September 14, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN FRANCISCO, CA
Past
May 8, 2006 - September 20, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN FRANCISCO, CA
Past
April 21, 2006 - September 20, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
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(1/9/2014)
RR
Alaska(1/9/2014)
RR
Arizona(1/9/2014)
RR
Arkansas(1/9/2014)
RR
California(5/31/2013)
RR
Colorado(1/9/2014)
RR
Connecticut(1/9/2014)
RR
Delaware(1/9/2014)
RR
District of Columbia(5/31/2013)
RR
Florida(1/9/2014)
RR
Georgia(1/9/2014)
RR
Hawaii(1/9/2014)
RR
Idaho(1/9/2014)
RR
Illinois(5/31/2013)
RR
Indiana(1/9/2014)
RR
Iowa(1/9/2014)
RR
Kansas(1/9/2014)
RR
Kentucky(1/9/2014)
RR
Louisiana(1/9/2014)
RR
Maine(1/9/2014)
RR
Maryland(1/9/2014)
RR
Massachusetts(1/9/2014)
RR
Michigan(5/31/2013)
RR
Minnesota(1/9/2014)
RR
Mississippi(1/9/2014)
RR
Missouri(5/31/2013)
RR
Montana(1/9/2014)
RR
Nebraska(1/9/2014)
RR
Nevada(5/31/2013)
RR
New Hampshire(1/9/2014)
RR
New Jersey(5/31/2013)
RR
New Mexico(1/9/2014)
RR
New York(1/9/2014)
RR
North Carolina(1/10/2014)
RR
North Dakota(5/31/2013)
RR
Ohio(1/10/2014)
RR
Oklahoma(1/9/2014)
RR
Oregon(5/31/2013)
RR
Pennsylvania(1/9/2014)
RR
Rhode Island(1/9/2014)
RR
South Carolina(1/9/2014)
RR
South Dakota(1/9/2014)
RR
Tennessee(1/9/2014)
RR
Texas(1/9/2014)
RR
Utah(1/9/2014)
RR
Vermont(1/9/2014)
RR
Virginia(1/9/2014)
RR
Washington(5/31/2013)
RR
West Virginia(1/9/2014)
RR
Wisconsin(1/9/2014)
RR
Wyoming(1/9/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
