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Detailed Report
KIMBERLY SUE ROSATI
KIMBERLY FARRINGTON
CRD#: 2856820
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1000 4TH STREET
SAN RAFAEL, CA 94901
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 DANVILLE, CA
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - 2020 (6 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2020 (1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2014 - 2018 (4 years)
License(s)

State Registrations

B
Arizona 3/24/2022
B
New Hampshire 5/19/2023
B
California 4/17/2020
B
New York 8/8/2020
IA
California 4/28/2020
B
North Carolina 8/8/2020
B
Colorado 2/12/2021
B
Oregon 6/4/2021
B
Delaware 1/4/2025
B
Tennessee 8/8/2020
B
Florida 2/12/2021
B
Texas 4/17/2020
B
Georgia 1/4/2025
IA
Texas 5/13/2020
B
Hawaii 2/16/2022
B
Utah 8/8/2020
B
Idaho 4/4/2022
B
Virginia 3/12/2021
B
Indiana 1/4/2025
B
Washington 8/8/2020
B
Massachusetts 8/13/2021
B
Wisconsin 9/29/2023
B
Montana 2/17/2022

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)
1000 4TH STREET, SAN RAFAEL, CA 94901
DANVILLE, CA
Registered with this firm since 4/28/2020
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
DANVILLE, CA
1000 4TH STREET, SAN RAFAEL, CA 94901
Registered with this firm since 4/17/2020
Previous Registration(s)
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IA
 07/13/2018 - 01/30/2020 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
B
 12/11/2013 - 01/21/2020 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WALNUT CREEK, CA
IA
 05/02/2014 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) WALNUT CREEK, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.