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CRAIG R KAPP
CRD#: 2314109
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 49 NORTH 400 WEST
SALT LAKE CITY, UT 84101
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 49 NORTH 400 WEST
SALT LAKE CITY, UT 84101
Registration History
19952000200520102015202020252 FIRMS2008 - 2014 (6 years)2 FIRMS2014 - 2016 (2 years)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (3 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2006 - 2008 (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2006 - 2006 (<1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2002 - 2006 (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1993 - 2002 (9 years)
Disclosure(s)
View By:
8/8/2022
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 2/7/2022

B
Nebraska 2/7/2022

B
Alaska 2/7/2022

B
Nevada 2/7/2022

B
Arizona 2/7/2022

B
New Hampshire 2/7/2022

B
Arkansas 2/7/2022

B
New Jersey 2/7/2022

B
California 2/7/2022

B
New Mexico 2/7/2022

B
Colorado 2/7/2022

B
New York 2/7/2022

B
Connecticut 2/7/2022

B
North Carolina 2/7/2022

B
Delaware 2/7/2022

B
North Dakota 2/7/2022

B
District of Columbia 2/7/2022

B
Ohio 2/8/2022

B
Florida 2/7/2022

B
Oklahoma 2/7/2022

B
Georgia 2/7/2022

B
Oregon 2/7/2022

B
Hawaii 2/7/2022

B
Pennsylvania 2/7/2022

B
Idaho 2/7/2022

B
Puerto Rico 2/7/2022

B
Illinois 2/7/2022

B
Rhode Island 2/7/2022

B
Indiana 2/7/2022

B
South Carolina 2/7/2022

B
Iowa 2/7/2022

B
South Dakota 2/7/2022

B
Kansas 2/7/2022

B
Tennessee 2/7/2022

B
Kentucky 2/7/2022

B
Texas 2/7/2022

B
Louisiana 2/7/2022

IA
Texas 2/17/2022

B
Maine 2/7/2022

B
Utah 2/4/2022

B
Maryland 2/7/2022

IA
Utah 2/18/2022

B
Massachusetts 2/7/2022

B
Vermont 2/7/2022

B
Michigan 2/7/2022

B
Virginia 2/7/2022

B
Minnesota 2/7/2022

B
Washington 2/7/2022

B
Mississippi 2/7/2022

B
West Virginia 2/7/2022

B
Missouri 2/7/2022

B
Wisconsin 2/7/2022

B
Montana 2/7/2022

B
Wyoming 2/7/2022

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)
49 NORTH 400 WEST, SALT LAKE CITY, UT 84101
Registered with this firm since 2/17/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
49 NORTH 400 WEST, SALT LAKE CITY, UT 84101
CLINTON, UT
Registered with this firm since 2/4/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/06/2020 - 01/11/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
B
05/06/2020 - 01/11/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SALT LAKE CITY, UT
IA
05/15/2017 - 04/22/2020 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) MIDVALE, UT
B
05/15/2017 - 04/22/2020 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) MIDVALE, UT
IA
10/03/2014 - 12/31/2016 TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319) NORTH SALT LAKE, UT
B
10/01/2014 - 12/31/2016 TRANSAMERICA INVESTORS SECURITIES CORPORATION (CRD#:32205) NORTH SALT LAKE, UT
IA
02/15/2008 - 09/26/2014 STRATEGIC ADVISERS, INC. (CRD#:104555) SALT LAKE CITY, UT
B
01/01/2008 - 09/25/2014 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SALT LAKE CITY, UT
B
03/30/2006 - 01/01/2008 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SALT LAKE CITY, UT
B
01/27/2006 - 04/27/2006 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
B
10/23/2002 - 01/25/2006 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
03/03/1993 - 10/23/2002 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
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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.