NM
Naveen Malwal
FIDELITY BROKERAGE SERVICES LLC
Boston, MA 02210
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CRD#: 5281621
NM
Professional summary
Naveen Malwal is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and FIDELITY DISTRIBUTORS COMPANY LLC located in Boston, Massachusetts.
Naveen is registered as a RR (Registered Representative) and started their career in finance in 2007. Naveen has worked at 5 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Naveen Malwal'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
March 15, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 7784
Boston, MA
Current
January 26, 2022 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 155 Seaport Blvd, Boston, MA 02210BD
CRD#: 17507
BOSTON, MA
Past
May 12, 2016 - March 19, 2018
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
BOSTON, MA
Past
September 5, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
BD
CRD#: 146430
BOSTON, MA
Past
October 2, 2012 - August 20, 2014
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
March 28, 2007 - February 6, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
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(2/2/2022)
RR
Alaska(2/2/2022)
RR
Arizona(2/2/2022)
RR
Arkansas(2/2/2022)
RR
California(2/2/2022)
RR
Colorado(2/2/2022)
RR
Connecticut(2/2/2022)
RR
Delaware(2/2/2022)
RR
District of Columbia(2/2/2022)
RR
Florida(2/2/2022)
RR
Georgia(2/2/2022)
RR
Hawaii(2/2/2022)
RR
Idaho(2/2/2022)
RR
Illinois(2/2/2022)
RR
Indiana(2/2/2022)
RR
Iowa(2/2/2022)
RR
Kansas(2/2/2022)
RR
Kentucky(2/2/2022)
RR
Louisiana(2/2/2022)
RR
Maine(2/2/2022)
RR
Maryland(2/2/2022)
RR
Massachusetts(2/1/2022)
RR
Michigan(2/2/2022)
RR
Minnesota(2/2/2022)
RR
Mississippi(2/2/2022)
RR
Missouri(2/2/2022)
RR
Montana(2/2/2022)
RR
Nebraska(2/2/2022)
RR
Nevada(2/2/2022)
RR
New Hampshire(2/2/2022)
RR
New Jersey(2/2/2022)
RR
New Mexico(2/2/2022)
RR
New York(2/2/2022)
RR
North Carolina(2/2/2022)
RR
North Dakota(2/2/2022)
RR
Ohio(2/3/2022)
RR
Oklahoma(2/2/2022)
RR
Oregon(2/2/2022)
RR
Pennsylvania(2/2/2022)
RR
Puerto Rico(2/2/2022)
RR
Rhode Island(2/2/2022)
RR
South Carolina(2/2/2022)
RR
South Dakota(2/2/2022)
RR
Tennessee(2/2/2022)
RR
Texas(2/2/2022)
RR
Utah(2/2/2022)
RR
Vermont(2/2/2022)
RR
Virginia(2/2/2022)
RR
Washington(2/2/2022)
RR
West Virginia(2/2/2022)
RR
Wisconsin(2/2/2022)
RR
Wyoming(2/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507Boston, MA 02210TRUST BUT VERIFY
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