Richard A. Brautigam
Professional summary
Richard Anthony Brautigam, who also goes by Richard Anthony Brautigam, Richard Brautigam, Richard Anthony Brautigam, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Stamford, Connecticut.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Anthony Brautigam's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 17, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 869 Washington Blvd, Stamford, CT 06901-2903February 4, 2022 - April 25, 2023
J.P. MORGAN SECURITIES 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
(5/17/2023)
(9/26/2023)
(1/4/2025)
(9/26/2023)
(1/4/2025)
(9/26/2023)
(9/26/2023)
(1/4/2025)
(9/26/2023)
Exams
Series 7TO
Date: 9/13/2023
General Securities Representative ExaminationSeries 6TO
Date: 2/4/2022
Investment Company Products/Variable Contracts 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
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.
