Noel C. Graydon

FIDELITY BROKERAGE SERVICES LLC

Smithfield, RI 02917

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CRD#: 6096931

Professional summary

Noel C. Graydon, CIMA®, who also goes by Noel Christopher Graydon, Noel Graydon, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Noel is registered as a RR (Registered Representative) and started their career in finance in 2012. Noel has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Noel Christopher Graydon | Noel Graydon

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Noel C. Graydon's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 24, 2017 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 500 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

December 7, 2022 - October 12, 2023

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

SMITHFIELD, RI

Past

August 7, 2012 - January 4, 2017

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(1/24/2017)

Rhode Island
(1/24/2017)

Exams

State Security Law Exam

Series 63

Date: 8/13/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2012

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Noel C. Graydon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Noel C. Graydon's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/2012

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2012

FINRA

New York Stock Exchange

Current Firm

FIDELITY BROKERAGE SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIDELITY BROKERAGE SERVICES LLC

TRUST BUT VERIFY

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