Brooks Rosenberg
Professional Summary
Brooks Rosenberg, who also goes by Brooks John Thomas Rosenberg, is a registered financial advisor currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island. Brooks is registered as a RR (Registered Representative) and started their career in finance in 2025. Brooks has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brooks Rosenberg, Brooks John Thomas Rosenberg
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Disclosures on record.
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Years of Experience
1 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262Phone Number
(800) 237-8132Established
Delaware since 01/01/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| WALLEN, DEREK ANDERSON | SENIOR VICE PRESIDENT | 2174696 |
Disclosures
Regulatory Event
3Arbitration
17Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(3/28/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/2/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(3/28/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
(4/1/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
CRS (Client Relationship Summary) - BD
Click below to view Brooks Rosenberg's CRS (Customer Relationship Summary).
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC