Ryan Kirk
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Kirk, who also goes by Ryan J Kirk, Ryan Jon Kirk, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2008. Ryan had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2021 - February 11, 2026
FIDELITY BROKERAGE SERVICES LLC
February 11, 2021 - February 11, 2026
NATIONAL FINANCIAL SERVICES LLC
November 27, 2018 - January 20, 2021
CHARLES SCHWAB & CO., INC.
May 20, 2014 - October 29, 2018
FIDELITY BROKERAGE SERVICES LLC
January 30, 2013 - May 6, 2014
NATIONAL FINANCIAL SERVICES LLC
October 9, 2009 - November 18, 2013
FIDELITY BROKERAGE SERVICES LLC
December 24, 2008 - September 2, 2009
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2008 - September 2, 2009
BANCWEST INVESTMENT SERVICES, INC.
August 21, 2008 - October 17, 2008
TD AMERITRADE, INC.
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: 1/2/2023
Operations Professional ExaminationCurrent 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 |
| 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 | 126 |
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.
