Frank J. Walker
Professional summary
Frank J. Walker, who also goes by Frank James Walker, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Roslyn, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2016. Frank has worked at 3 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 Frank J. Walker's CRS (Customer Relationship Summary).
Certified licenses
Education
Long Island University
Bachelor of Business Administration - Finance
2015
University of Central Florida
Associate of Applied Business - Finance
2014
Experience
December 1, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1075 Northern Blvd, Roslyn, NY 11576March 31, 2025 - August 17, 2026
STRATEGIC ADVISERS LLC
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 8, 2016 - July 13, 2018
STRATEGIC ADVISERS 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
(1/6/2016)
(1/6/2016)
(12/1/2015)
(1/6/2016)
(1/6/2016)
(1/6/2016)
(9/18/2020)
(1/6/2016)
(4/23/2020)
Exams
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 |
| 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
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Company Information
FIDELITY BROKERAGE SERVICES LLC
Investor Center Planning ConsultantCRD#: 7784Roslyn, NY 11576TRUST BUT VERIFY
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