David C. Ferrin
Professional summary
David Charles Ferrin, who also goes by Dave C Ferrin, Dave Charles Ferrin, Dave Ferrin, David C Ferrin, David Charles Ferrin, David Ferrin, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Merrimack, New Hampshire.
David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Charles Ferrin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054July 13, 2018 - December 5, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 9, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
October 21, 2011 - December 12, 2023
FIDELITY BROKERAGE SERVICES LLC
January 25, 2008 - January 8, 2009
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 12/12/2023
Operations Professional ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Merrimack, NH 03054TRUST BUT VERIFY
Monitor David Ferrin
Get automatic monthly alerts on:
