DK
David W. Karp
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 5268942
DK
Professional summary
David W. Karp, who also goes by David Walter Karp, David Karp, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 34, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Walter Karp | David Karp
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 David W. Karp'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
October 29, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
September 28, 2020 - August 4, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FORT LAUDERDALE, FL
Past
March 28, 2011 - May 4, 2020
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
Past
August 10, 2007 - April 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COCONUT CREEK, FL
Past
June 20, 2007 - July 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 27, 2007 - May 2, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANTATION, FL
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(10/29/2021)
RR
Alaska(10/29/2021)
RR
Arizona(10/29/2021)
RR
Arkansas(10/29/2021)
RR
California(10/29/2021)
RR
Colorado(10/29/2021)
RR
Connecticut(10/29/2021)
RR
Delaware(10/29/2021)
RR
District of Columbia(10/29/2021)
RR
Florida(10/29/2021)
RR
Georgia(10/29/2021)
RR
Hawaii(10/29/2021)
RR
Idaho(10/29/2021)
RR
Illinois(10/29/2021)
RR
Indiana(10/29/2021)
RR
Iowa(10/29/2021)
RR
Kansas(10/29/2021)
RR
Kentucky(10/29/2021)
RR
Louisiana(10/29/2021)
RR
Maine(10/29/2021)
RR
Maryland(10/29/2021)
RR
Massachusetts(10/29/2021)
RR
Michigan(10/29/2021)
RR
Minnesota(10/29/2021)
RR
Mississippi(10/29/2021)
RR
Missouri(10/29/2021)
RR
Montana(10/29/2021)
RR
Nebraska(10/29/2021)
RR
Nevada(10/29/2021)
RR
New Hampshire(10/29/2021)
RR
New Jersey(10/29/2021)
RR
New Mexico(10/29/2021)
RR
New York(10/29/2021)
RR
North Carolina(10/29/2021)
RR
North Dakota(10/29/2021)
RR
Ohio(10/29/2021)
RR
Oklahoma(10/29/2021)
RR
Oregon(10/29/2021)
RR
Pennsylvania(10/29/2021)
RR
Puerto Rico(10/29/2021)
RR
Rhode Island(10/29/2021)
RR
South Carolina(10/29/2021)
RR
South Dakota(10/29/2021)
RR
Tennessee(10/29/2021)
RR
Texas(10/29/2021)
RR
Utah(10/29/2021)
RR
Vermont(10/29/2021)
RR
Virgin Islands(10/29/2021)
RR
Virginia(10/29/2021)
RR
Washington(10/29/2021)
RR
West Virginia(10/29/2021)
RR
Wisconsin(10/29/2021)
RR
Wyoming(10/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/12/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product 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.
