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KRISTIN ANN MOROZ
KRISTIN ANN FARRELL, KRISTIN FARRELL
CRD#: 2169389
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 6501 S FIDDLER'S GREEN CIRCLE
STE 300 - 600
GREENWOOD VILLAGE, CO 80111-4932
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 343 S TELLER ST
LAKEWOOD, CO 80226
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2016 (<1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BNATIONAL FINANCIAL SERVICES LLC (CRD# 13041)2001 - 2014 (12 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2003 - 2014 (11 years)BNF CLEARING, INC. (CRD# 14285)2005 - 2006 (<1 year)BVISIBLE MARKETS, INC. (CRD# 103842)2000 - 2001 (1 year)BABN AMRO INCORPORATED (CRD# 15776)1997 - 2000 (2 years)BW. P. STEWART & CO., INC. (CRD# 7190)1995 - 1997 (1 year)
License(s)

State Registrations

B
Alabama 7/29/2019

B
Nebraska 7/29/2019

B
Alaska 7/29/2019

B
Nevada 7/29/2019

B
Arizona 7/29/2019

B
New Hampshire 7/29/2019

B
Arkansas 7/29/2019

B
New Jersey 7/29/2019

B
California 7/29/2019

B
New Mexico 7/29/2019

B
Colorado 7/29/2019

B
New York 7/29/2019

IA
Colorado 9/11/2019

B
North Carolina 7/29/2019

B
Connecticut 7/29/2019

B
North Dakota 7/29/2019

B
Delaware 7/29/2019

B
Ohio 7/29/2019

B
District of Columbia 7/29/2019

B
Oklahoma 7/29/2019

B
Florida 7/29/2019

B
Oregon 7/29/2019

B
Georgia 7/29/2019

B
Pennsylvania 7/29/2019

B
Hawaii 7/29/2019

B
Puerto Rico 7/29/2019

B
Idaho 7/29/2019

B
Rhode Island 7/29/2019

B
Illinois 7/29/2019

B
South Carolina 7/29/2019

B
Indiana 7/29/2019

B
South Dakota 7/29/2019

B
Iowa 7/29/2019

B
Tennessee 7/29/2019

B
Kansas 7/29/2019

B
Texas 7/29/2019

B
Kentucky 7/29/2019

IA
Texas 9/11/2019

B
Louisiana 7/29/2019

B
Utah 7/29/2019

B
Maine 7/29/2019

B
Vermont 7/29/2019

B
Maryland 7/29/2019

B
Virgin Islands 7/29/2019

B
Massachusetts 7/29/2019

B
Virginia 7/29/2019

B
Michigan 7/29/2019

B
Washington 7/29/2019

B
Minnesota 7/29/2019

B
West Virginia 7/29/2019

B
Mississippi 7/29/2019

B
Wisconsin 7/29/2019

B
Missouri 7/29/2019

B
Wyoming 7/29/2019

B
Montana 7/29/2019

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
6501 S FIDDLER'S GREEN CIRCLE STE 300 - 600, GREENWOOD VILLAGE, CO 80111-4932
Registered with this firm since 9/11/2019

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
343 S TELLER ST, LAKEWOOD, CO 80226
MORRISON, CO
Registered with this firm since 7/29/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/20/2017 - 07/16/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
B
01/20/2017 - 07/16/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
IA
04/27/2015 - 01/22/2016 STRATEGIC ADVISERS, INC. (CRD#:104555) CAMBRIDGE, MA
B
04/13/2015 - 01/08/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) CAMBRIDGE, MA
IA
10/21/2014 - 03/25/2015 MORGAN STANLEY (CRD#:149777) BOSTON, MA
B
10/08/2014 - 03/25/2015 MORGAN STANLEY (CRD#:149777) BOSTON, MA
B
09/25/2001 - 07/24/2014 NATIONAL FINANCIAL SERVICES LLC (CRD#:13041) BOSTON, MA
B
06/11/2003 - 07/21/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) BOSTON, MA
B
04/19/2005 - 03/02/2006 NF CLEARING, INC. (CRD#:14285) PHILADELPHIA, PA
B
05/30/2000 - 08/21/2001 VISIBLE MARKETS, INC. (CRD#:103842) BOSTON, MA
B
09/08/1997 - 04/06/2000 ABN AMRO INCORPORATED (CRD#:15776) STAMFORD, CT
B
12/08/1995 - 08/11/1997 W. P. STEWART & CO., INC. (CRD#:7190) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.