Julie E. Rozen
Professional summary
Julie E Rozen, who also goes by Julie Elizabeth Hutchinson, Julie Elizabeth Rozen, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.
Julie is registered as a RR (Registered Representative) and started their career in finance in 2022. Julie has worked at 6 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julie E Rozen's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210April 14, 2023 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210April 17, 2023 - Present
GREEN PIER FINTECH LLC
Office #1: 245 Summer Street V3a, Boston, MA 02210April 17, 2023 - Present
DIGITAL BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210April 17, 2023 - Present
FIDELITY PRIME FINANCING
Office #1: 155 Seaport Blvd., Boston, MA 02210April 17, 2023 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 245 Summer Street, Boston, MA 02210State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
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 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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 DISTRIBUTORS COMPANY LLC
CRD#: 17507Boston, MA 02210TRUST BUT VERIFY
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