RC
Robert I. Carmody
FIDELITY BROKERAGE SERVICES LLC
Greenwood Village, CO 80111-4932
Some features on this profile are disabled
CRD#: 5445483
RC
Professional summary
Robert I. Carmody, who also goes by Bob Carmody, Robert Irwin Carmody Jr., Robert Irwin Carmody, Robert Carmody, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado and FIDELITY DISTRIBUTORS COMPANY LLC located in Greenwood Village, Colorado.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Carmody | Robert Irwin Carmody Jr. | Robert Irwin Carmody | Robert Carmody
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 Robert I. Carmody'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
January 31, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932BD
CRD#: 7784
Greenwood Village, CO
Current
March 29, 2023 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111BD
CRD#: 17507
Greenwood Village, CO
Past
January 2, 2014 - August 22, 2022
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
BD
CRD#: 119546
DENVER, CO
Past
June 7, 2013 - September 3, 2013
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
February 5, 2008 - September 3, 2013
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
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(1/31/2023)
RR
Alaska(1/31/2023)
RR
Arizona(1/31/2023)
RR
Arkansas(1/31/2023)
RR
California(1/31/2023)
RR
Colorado(1/31/2023)
RR
Connecticut(1/31/2023)
RR
Delaware(1/31/2023)
RR
District of Columbia(1/31/2023)
RR
Florida(1/31/2023)
RR
Georgia(1/31/2023)
RR
Hawaii(1/31/2023)
RR
Idaho(1/31/2023)
RR
Illinois(1/31/2023)
RR
Indiana(1/31/2023)
RR
Iowa(1/31/2023)
RR
Kansas(1/31/2023)
RR
Kentucky(1/31/2023)
RR
Louisiana(1/31/2023)
RR
Maine(1/31/2023)
RR
Maryland(1/31/2023)
RR
Massachusetts(1/31/2023)
RR
Michigan(1/31/2023)
RR
Minnesota(1/31/2023)
RR
Mississippi(1/31/2023)
RR
Missouri(1/31/2023)
RR
Montana(1/31/2023)
RR
Nebraska(1/31/2023)
RR
Nevada(1/31/2023)
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New Hampshire(1/31/2023)
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New Jersey(1/31/2023)
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New Mexico(1/31/2023)
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New York(1/31/2023)
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North Carolina(1/31/2023)
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North Dakota(1/31/2023)
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Ohio(1/31/2023)
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Oklahoma(1/31/2023)
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Oregon(1/31/2023)
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Pennsylvania(1/31/2023)
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Puerto Rico(1/31/2023)
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Rhode Island(1/31/2023)
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South Carolina(1/31/2023)
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South Dakota(1/31/2023)
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Tennessee(1/31/2023)
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Texas(1/31/2023)
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Utah(1/31/2023)
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Vermont(1/31/2023)
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Virgin Islands(1/31/2023)
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Virginia(1/31/2023)
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Washington(1/31/2023)
RR
West Virginia(1/31/2023)
RR
Wisconsin(1/31/2023)
RR
Wyoming(1/31/2023)
Exams
State Security Law Exam
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
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.
