Frank J. Walker
FIDELITY BROKERAGE SERVICES | Investor Center Planning Consultant
SMITHFIELD, RI 02917
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CRD#: 6574096
Frank J. WalkerFIDELITY BROKERAGE SERVICES
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 Smithfield, Rhode Island and FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2016. Frank has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
My role as a Financial Consultant in Flatiron is to partner with clients on building and maintaining financial plans. It is important that every client of mine has three things. First, a plan that is tailored specific to their needs and their family. Second, to help provide peace of mind with an all-weather plan that can adapt to the markets. And third, my clients have clear understanding of the purpose and function of each moving part of their plan.
Aliases
Frank James Walker
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 Frank J. Walker'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®
NoneEducation
Long Island University
Bachelor of Business Administration - Finance
2015
University of Central Florida
Associate of Applied Business - Finance
2014
Experience
Current
December 1, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
SMITHFIELD, RI
Current
September 15, 2026 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
SMITHFIELD, RI
Past
March 31, 2025 - August 17, 2026
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ROSLYN, NY
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ROSLYN, NY
Past
November 8, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NEW YORK, NY
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(9/15/2026)
RR
Alaska(9/15/2026)
RR
Arizona(9/15/2026)
RR
Arkansas(9/15/2026)
RR
California(1/6/2016)
RR
Colorado(9/15/2026)
RR
Connecticut(1/6/2016)
RR
Delaware(9/15/2026)
RR
District of Columbia(9/15/2026)
RR
Florida(12/1/2015)
RR
Georgia(9/15/2026)
RR
Hawaii(9/15/2026)
RR
Idaho(9/15/2026)
RR
Illinois(9/15/2026)
RR
Indiana(9/15/2026)
RR
Iowa(9/15/2026)
RR
Kansas(9/15/2026)
RR
Kentucky(9/15/2026)
RR
Louisiana(9/15/2026)
RR
Maine(9/15/2026)
RR
Maryland(9/15/2026)
RR
Massachusetts(1/6/2016)
RR
Michigan(9/15/2026)
RR
Minnesota(9/15/2026)
RR
Mississippi(9/15/2026)
RR
Missouri(9/15/2026)
RR
Montana(9/15/2026)
RR
Nebraska(9/15/2026)
RR
Nevada(9/15/2026)
RR
New Hampshire(9/15/2026)
RR
New Jersey(1/6/2016)
RR
New Mexico(9/15/2026)
RR
New York(1/6/2016)
RR
North Carolina(9/18/2020)
RR
North Dakota(9/15/2026)
RR
Ohio(9/15/2026)
RR
Oklahoma(9/15/2026)
RR
Oregon(9/15/2026)
RR
Pennsylvania(9/15/2026)
RR
Rhode Island(9/15/2026)
RR
South Carolina(9/15/2026)
RR
South Dakota(9/15/2026)
RR
Tennessee(9/15/2026)
RR
Texas(1/6/2016)
RR
Utah(9/15/2026)
RR
Vermont(9/15/2026)
RR
Virginia(4/23/2020)
RR
Washington(9/15/2026)
RR
West Virginia(9/15/2026)
RR
Wisconsin(9/15/2026)
RR
Wyoming(9/15/2026)
Exams
What does exam status mean?
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
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
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
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| WALLEN, DEREK ANDERSON | SENIOR VICE PRESIDENT | 2174696 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
Investor Center Planning ConsultantCRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
