Breno C. Bastos
Professional summary
Breno C. Bastos, who also goes by Breno Bastos, Breno Costae Bastos, Breno Costa E Bastos, Breno Costa Ebastos, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Breno is registered as a RR (Registered Representative) and started their career in finance in 2020. Breno has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Breno C. Bastos's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262Office #2: 4601 Touchton Rd East, Bldg 400, Jacksonville, FL 32246June 14, 2021 - February 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 17, 2020 - April 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2020 - April 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/13/2020
General Securities Representative ExaminationFINRA
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 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| 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 | 124 |
Red Flags
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