CRD #7784 · FINRA BrokerCheck + SEC IAPD

Fidelity Brokerage Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fidelity Brokerage Services LLC ranks #33 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #1 of 7 on the same disclosure sort used on the state browse page. Fidelity Brokerage Services LLC carries 152 BrokerCheck disclosures across 739 branch offices - light load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
739
branch offices
152
disclosures
#33 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7784 Fidelity Brokerage Services LLC

Fidelity Brokerage Services LLC · Grade C · 152 disc · 0.21/office · Large firm

  • CRD 7784
  • GRADE C
  • DISC 152
  • REG 24
  • ARB 128
  • CIV 0
  • BRANCH 739
  • PER-OFF 0.21
  • RANK #33 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Berthel, Fisher & Company Financial Services, Inc. (0.22 disc/office)

Berthel, Fisher & Compa…0.22Lasalle ST Securities, …0.16Natixis Securities Amer…0.15Fidelity Brokerage … (this)0.21
Disclosures per office among large firm peers (lower is cleaner)

Fidelity Brokerage Services LLC ranks #33 of 20,055 by disclosure count among graded broker-dealers; light load at 0.21 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

739 offices

FINRA: Large firm

Total disclosures

152 events

On FINRA BrokerCheck

Regulatory events

24 actions

16% of all disclosures

Disclosures per office

0.21 per office

152 ÷ 739 offices

Fidelity Brokerage Services LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 76% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 24
Arbitrations 128
Civil Events 0
Total 152

Counts for Fidelity Brokerage Services LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 24 Arbitration 128 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Smithfield, RI
CRD Number
7784

Customer-facing mix

Fidelity Brokerage Services LLC in the heavier-disclosure third

Fidelity Brokerage Services LLC carries 152 BrokerCheck disclosures across 739 branch offices - a heavier-third raw book among graded firms (#33 of 20,055). Customer-facing events dominate: 128 arbitration and 0 civil versus 24 regulatory (16% regulator share).

Only 16% of Fidelity Brokerage Services LLC's disclosures are regulator-initiated; arbitrations (128) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Fidelity Brokerage Services LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Rhode Island cohort · 4.86× state average

Fidelity Brokerage Services LLC sits above the Rhode Island disclosure average

Fidelity Brokerage Services LLC reports 152 BrokerCheck disclosures, 4.86× the Rhode Island average of 31.3 across 7 graded firms with a principal-office state on file.

In Rhode Island, 1 firm carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Rhode Island state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Fidelity Brokerage Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Fidelity Brokerage Services LLC ranks #33 of 20,055 by disclosure count (most disclosures first). Among firms registered in RI, it ranks #1 of 7 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Fidelity Brokerage Services LLC?
A grade of C reflects Fidelity Brokerage Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 152 total disclosures across 739 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Fidelity Brokerage Services LLC have?
Fidelity Brokerage Services LLC has 152 total FINRA disclosures, including 24 regulatory events, 128 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Fidelity Brokerage Services LLC?
Fidelity Brokerage Services LLC operates 739 branch offices and is classified by FINRA as a large firm, registered in RI (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Fidelity Brokerage Services LLC's disciplinary record?
You can verify Fidelity Brokerage Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7784. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Fidelity Brokerage Services LLC's 152 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Fidelity Brokerage Services LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Fidelity Brokerage Services LLC carries 152 disclosures across 739 branch offices (about 0.21 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Fidelity Brokerage Services LLC, both outside RI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.