Adam V. Ely
Professional summary
Adam Vanis Ely, who also goes by Adam Vanis Ely, Adam Ely, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jersey City, New Jersey.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2022. Adam has worked at 6 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Vanis Ely's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310August 16, 2022 - July 31, 2024
NATIONAL FINANCIAL SERVICES LLC
August 16, 2022 - July 31, 2024
GREEN PIER FINTECH LLC
August 16, 2022 - July 31, 2024
FIDELITY PRIME FINANCING
August 16, 2022 - July 31, 2024
FIDELITY DISTRIBUTORS COMPANY LLC
August 16, 2022 - July 31, 2024
DIGITAL BROKERAGE SERVICES 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
Exams
Series 99TO
Date: 9/27/2021
Operations Professional ExaminationFINRA
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
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.
