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SD

Sophia I. Diserio

Some features on this profile are disabled
CRD#: 6995203
SD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sophia Isabel Diserio, who also goes by Sophia Diserio, was a registered financial professional .

Sophia is a previously registered financial professional and started their career in finance in 2018. Sophia had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sophia Diserio

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2019 - March 18, 2021

FIDELITY PRIME FINANCING

BD
CRD#: 299736
BOSTON, MA
Past

September 24, 2018 - February 22, 2022

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/29/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2018
General Securities Representative Examination

Current Firm

FP
FIDELITY PRIME FINANCING
FIDELITY PRIME FINANCING | FIDELITY PRIME FINANCING, LLC

CRD#: 299736 / SEC#: , 8-70261

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
155 Seaport Boulevard, Boston, MA 02210
Mailing Address
245 Summer Street Mail Zone: V1b, Boston, MA 02210
Phone number
(617) 563-0844
Established
Delaware since 10/02/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.OWNER
CREEDON, ADAMCHIEF COMPLIANCE OFFICER5417517
HUNT, JON PETERDIRECTOR2270130
MARCHUK, ANTON VELECTED MANAGER4002432
REMMES, GREGORY JOHNPRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER2169049
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
RICHARD, STEPHEN ROBERTPRESIDENT; ELECTED MANAGER3113456
RYAN, KRISTAC.L.O.; SECRETARY
TESAURO, THOMAS JOHNC.E.O., ELECTED MANAGER1862532

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 PRIME FINANCING

CRD#: 299736

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