Stephen Spence
Professional summary
Stephen Spence, CFP®, who also goes by Stephen Lee Spence, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2014. Stephen has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Spence's CRS (Customer Relationship Summary).
Certified licenses
Education
West Virginia University
Bachelors Degree - Advertising and Communication
2013
Experience
September 8, 2016 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917March 31, 2025 - August 24, 2026
STRATEGIC ADVISERS LLC
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 28, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
November 19, 2015 - August 8, 2016
PNC WEALTH MANAGEMENT LLC
November 19, 2015 - August 8, 2016
PNC WEALTH MANAGEMENT LLC
March 12, 2015 - October 2, 2015
STRATEGIC ADVISERS LLC
June 30, 2014 - October 1, 2015
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/19/2023)
(2/25/2020)
(7/8/2022)
(9/8/2016)
(6/19/2017)
(2/25/2020)
(9/29/2023)
(2/25/2020)
(9/12/2016)
(9/9/2016)
(9/8/2016)
(9/8/2016)
(2/24/2020)
(9/8/2016)
(5/31/2019)
(9/8/2016)
Exams
What does exam status mean?
FINRA
New York Stock Exchange
Current 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 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| 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 | 24 |
| Arbitration | 129 |
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
Financial ConsultantCRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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