TH
Thomas J. Hobbs
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 5370822
TH
Professional summary
Thomas Joseph Hobbs, who also goes by Thomas Joseph Hobbs, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Joseph Hobbs
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 Thomas Joseph Hobbs'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
July 15, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
March 11, 2013 - June 20, 2013
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
FORT WORTH, TX
Past
October 5, 2011 - March 11, 2013
TD AMERITRADE, INC.
RIA
CRD#: 7870
FORT WORTH, TX
Past
October 5, 2011 - March 11, 2013
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
Past
September 28, 2009 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
FLOWER MOUND, TX
Past
September 28, 2009 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FLOWER MOUND, TX
Past
April 21, 2008 - September 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DALLAS, TX
Past
April 3, 2008 - September 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DALLAS, TX
Past
July 9, 2007 - February 19, 2008
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ADDISON, TX
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(7/15/2013)
RR
Alaska(7/15/2013)
RR
Arizona(7/15/2013)
RR
Arkansas(7/15/2013)
RR
California(7/15/2013)
RR
Colorado(7/15/2013)
RR
Connecticut(7/15/2013)
RR
Delaware(7/15/2013)
RR
District of Columbia(7/15/2013)
RR
Florida(7/15/2013)
RR
Georgia(7/15/2013)
RR
Hawaii(7/15/2013)
RR
Idaho(7/15/2013)
RR
Illinois(7/15/2013)
RR
Indiana(7/15/2013)
RR
Iowa(7/15/2013)
RR
Kansas(7/15/2013)
RR
Kentucky(7/15/2013)
RR
Louisiana(7/15/2013)
RR
Maine(7/15/2013)
RR
Maryland(7/15/2013)
RR
Massachusetts(7/15/2013)
RR
Michigan(7/15/2013)
RR
Minnesota(7/15/2013)
RR
Mississippi(7/15/2013)
RR
Missouri(7/15/2013)
RR
Montana(7/15/2013)
RR
Nebraska(7/15/2013)
RR
Nevada(7/15/2013)
RR
New Hampshire(7/15/2013)
RR
New Jersey(7/15/2013)
RR
New Mexico(7/15/2013)
RR
New York(7/15/2013)
RR
North Carolina(7/16/2013)
RR
North Dakota(7/15/2013)
RR
Ohio(7/15/2013)
RR
Oklahoma(7/15/2013)
RR
Oregon(7/15/2013)
RR
Pennsylvania(7/15/2013)
RR
Rhode Island(7/15/2013)
RR
South Carolina(7/15/2013)
RR
South Dakota(7/15/2013)
RR
Tennessee(7/15/2013)
RR
Texas(7/15/2013)
RR
Utah(7/15/2013)
RR
Vermont(7/15/2013)
RR
Virginia(7/15/2013)
RR
Washington(7/15/2013)
RR
West Virginia(7/15/2013)
RR
Wisconsin(7/15/2013)
RR
Wyoming(7/15/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
