JM
James P. Mccloskey
FIDELITY BROKERAGE SERVICES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5858847
JM
Professional summary
James P Mccloskey, who also goes by James Patrick Mccloskey, James Mccloskey, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Patrick Mccloskey | James Mccloskey
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 James P Mccloskey'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
June 16, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 320 Park Avenue, New York, NY 10022BD
CRD#: 7784
NEW YORK, NY
Past
October 4, 2021 - April 22, 2022
SECUREVEST FINANCIAL GROUP
BD
CRD#: 10100
MORRISTOWN, NJ
Past
October 23, 2020 - October 4, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
NEW YORK, NY
Past
October 7, 2020 - October 4, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
May 21, 2018 - September 29, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Jersey City, NJ
Past
May 18, 2018 - September 29, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
JERSEY CITY, NJ
Past
May 18, 2018 - September 29, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
JERSEY CITY, NJ
Past
September 14, 2017 - April 30, 2018
TRIBAL CAPITAL MARKETS, LLC
BD
CRD#: 38901
Summit, NJ
Past
February 18, 2013 - September 13, 2017
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
February 11, 2013 - September 13, 2017
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
January 10, 2011 - May 31, 2012
R. SEELAUS & CO., LLC
BD
CRD#: 14974
CHATHAM, NJ
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(6/16/2022)
RR
Alaska(6/16/2022)
RR
Arizona(6/16/2022)
RR
Arkansas(6/16/2022)
RR
California(6/16/2022)
RR
Colorado(6/16/2022)
RR
Connecticut(6/16/2022)
RR
Delaware(6/16/2022)
RR
District of Columbia(6/16/2022)
RR
Florida(6/16/2022)
RR
Georgia(6/16/2022)
RR
Hawaii(6/16/2022)
RR
Idaho(6/16/2022)
RR
Illinois(6/16/2022)
RR
Indiana(6/16/2022)
RR
Iowa(6/16/2022)
RR
Kansas(6/16/2022)
RR
Kentucky(6/16/2022)
RR
Louisiana(6/16/2022)
RR
Maine(6/16/2022)
RR
Maryland(6/16/2022)
RR
Massachusetts(6/16/2022)
RR
Michigan(6/16/2022)
RR
Minnesota(6/16/2022)
RR
Mississippi(6/16/2022)
RR
Missouri(6/16/2022)
RR
Montana(6/17/2022)
RR
Nebraska(6/16/2022)
RR
Nevada(6/16/2022)
RR
New Hampshire(6/16/2022)
RR
New Jersey(6/16/2022)
RR
New Mexico(6/16/2022)
RR
New York(6/16/2022)
RR
North Carolina(6/16/2022)
RR
North Dakota(6/16/2022)
RR
Ohio(6/21/2022)
RR
Oklahoma(6/16/2022)
RR
Oregon(6/16/2022)
RR
Pennsylvania(6/16/2022)
RR
Puerto Rico(6/16/2022)
RR
Rhode Island(6/16/2022)
RR
South Carolina(6/16/2022)
RR
South Dakota(6/16/2022)
RR
Tennessee(6/16/2022)
RR
Texas(6/16/2022)
RR
Utah(6/16/2022)
RR
Vermont(6/16/2022)
RR
Virgin Islands(6/16/2022)
RR
Virginia(6/16/2022)
RR
Washington(6/16/2022)
RR
West Virginia(6/16/2022)
RR
Wisconsin(6/16/2022)
RR
Wyoming(6/16/2022)
Exams
State Security Law Exam
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.
