MR
Michael E. Ramsdell
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
Some features on this profile are disabled
CRD#: 5114820
MR
Professional summary
Michael Edward Ramsdell, who also goes by Michael Edward Ramsdell, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Edward Ramsdell
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 Michael Edward Ramsdell'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
April 1, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
September 25, 2008 - March 1, 2011
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
September 6, 2007 - August 12, 2008
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CINCINNATI, OH
Past
June 19, 2007 - August 12, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CINCINNATI, OH
Past
December 8, 2006 - June 6, 2007
WADDELL & REED
RIA
CRD#: 866
CINCINNATI, OH
Past
December 8, 2006 - June 6, 2007
WADDELL & REED
BD
CRD#: 866
CINCINNATI, OH
Past
July 17, 2006 - November 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CINCINNATI, OH
Past
July 7, 2006 - November 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CINCINNATI, OH
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(6/8/2011)
RR
Alaska(6/8/2011)
RR
Arizona(6/8/2011)
RR
Arkansas(6/8/2011)
RR
California(6/8/2011)
RR
Colorado(6/8/2011)
RR
Connecticut(6/8/2011)
RR
Delaware(6/8/2011)
RR
District of Columbia(6/8/2011)
RR
Florida(6/8/2011)
RR
Georgia(6/8/2011)
RR
Hawaii(6/8/2011)
RR
Idaho(6/8/2011)
RR
Illinois(6/8/2011)
RR
Indiana(6/8/2011)
RR
Iowa(6/8/2011)
RR
Kansas(6/8/2011)
RR
Kentucky(5/30/2011)
RR
Louisiana(6/8/2011)
RR
Maine(6/8/2011)
RR
Maryland(6/8/2011)
RR
Massachusetts(6/8/2011)
RR
Michigan(6/8/2011)
RR
Minnesota(6/8/2011)
RR
Mississippi(6/8/2011)
RR
Missouri(6/8/2011)
RR
Montana(6/8/2011)
RR
Nebraska(6/8/2011)
RR
Nevada(6/8/2011)
RR
New Hampshire(6/8/2011)
RR
New Jersey(6/8/2011)
RR
New Mexico(6/8/2011)
RR
New York(6/8/2011)
RR
North Carolina(6/9/2011)
RR
North Dakota(9/7/2011)
RR
Ohio(6/10/2011)
RR
Oklahoma(6/8/2011)
RR
Oregon(6/8/2011)
RR
Pennsylvania(6/8/2011)
RR
Puerto Rico(9/7/2011)
RR
Rhode Island(6/8/2011)
RR
South Carolina(6/8/2011)
RR
South Dakota(9/7/2011)
RR
Tennessee(12/15/2015)
RR
Texas(6/8/2011)
RR
Utah(6/8/2011)
RR
Vermont(6/8/2011)
RR
Virgin Islands(1/5/2018)
RR
Virginia(6/8/2011)
RR
Washington(6/8/2011)
RR
West Virginia(6/8/2011)
RR
Wisconsin(6/8/2011)
RR
Wyoming(6/8/2011)
Exams
State Security Law Exam
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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.
