MD
Michael X. Difonzo
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 5705884
MD
Professional summary
Michael X. Difonzo, who also goes by Michael Xavier Difonzo, Michael Difonzo, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Xavier Difonzo | Michael Difonzo
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 Michael X. Difonzo'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
August 15, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
July 13, 2018 - October 17, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
September 16, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
September 20, 2010 - December 31, 2012
OSAIC FS, INC.
RIA
CRD#: 3870
FORT WORTH, TX
Past
September 20, 2010 - December 31, 2012
OSAIC FS, INC.
BD
CRD#: 3870
FORT WORTH, TX
Past
October 12, 2009 - April 14, 2010
EDWARD JONES
RIA
CRD#: 250
FT WORTH, TX
Past
September 28, 2009 - April 14, 2010
EDWARD JONES
BD
CRD#: 250
FT WORTH, 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(9/3/2013)
RR
Alaska(8/29/2013)
RR
Arizona(9/9/2013)
RR
Arkansas(9/3/2013)
RR
California(8/16/2013)
RR
Colorado(8/16/2013)
RR
Connecticut(8/19/2013)
RR
Delaware(8/19/2013)
RR
District of Columbia(9/4/2013)
RR
Florida(8/16/2013)
RR
Georgia(8/20/2013)
RR
Hawaii(8/29/2013)
RR
Idaho(8/16/2013)
RR
Illinois(8/20/2013)
RR
Indiana(9/4/2013)
RR
Iowa(8/29/2013)
RR
Kansas(8/15/2013)
RR
Kentucky(8/30/2013)
RR
Louisiana(9/11/2013)
RR
Maine(8/29/2013)
RR
Maryland(8/19/2013)
RR
Massachusetts(9/5/2013)
RR
Michigan(8/19/2013)
RR
Minnesota(9/3/2013)
RR
Mississippi(9/4/2013)
RR
Missouri(8/16/2013)
RR
Montana(8/16/2013)
RR
Nebraska(8/19/2013)
RR
Nevada(9/17/2013)
RR
New Hampshire(8/15/2013)
RR
New Jersey(8/19/2013)
RR
New Mexico(8/29/2013)
RR
New York(9/9/2013)
RR
North Carolina(8/23/2013)
RR
North Dakota(1/9/2017)
RR
Ohio(8/15/2013)
RR
Oklahoma(8/29/2013)
RR
Oregon(8/16/2013)
RR
Pennsylvania(8/16/2013)
RR
Rhode Island(8/16/2013)
RR
South Carolina(9/9/2013)
RR
South Dakota(1/13/2017)
RR
Tennessee(1/11/2017)
RR
Texas(8/29/2013)
RR
Utah(8/19/2013)
RR
Vermont(9/4/2013)
RR
Virginia(8/15/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
RR
Wyoming(8/29/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
