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RICHARD SCOTT LEVIN
RICK SCOTT LEVIN, RICK LEVIN, Richard S Levin, Richard Scott Levin, Richard Levin
CRD#: 6236749
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1220 ROSEVILLE PARKWAY SUITE 100
ROSEVILLE, CA 95678
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1261 ROSEVILLE PARKWAY
ROSEVILLE, CA 95678-9998
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2017 - 2017 (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2015 - 2016 (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 7/12/2024

B
Ohio 6/1/2022

B
California 4/26/2022

B
Oregon 7/12/2024

IA
California 5/17/2022

B
Texas 7/8/2022

B
Colorado 7/8/2022

IA
Texas 9/9/2022

B
Hawaii 11/20/2024

B
Utah 5/17/2024

B
Iowa 11/20/2024

B
Virginia 7/14/2023

B
Massachusetts 11/14/2024

B
Washington 3/25/2023

B
Montana 1/10/2025

B
Wisconsin 7/8/2022

B
Nevada 6/7/2024

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)
1220 ROSEVILLE PARKWAY SUITE 100, ROSEVILLE, CA 95678
Registered with this firm since 5/17/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1261 ROSEVILLE PARKWAY, ROSEVILLE, CA 95678-9998
COLFAX, CA
Registered with this firm since 4/26/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2020 - 03/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SACRAMENTO, CA
B
06/01/2020 - 03/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SACRAMENTO, CA
B
01/31/2017 - 06/19/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) Roseville, CA
B
09/02/2015 - 12/22/2016 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SACRAMENTO, CA
B
01/13/2015 - 04/23/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SACRAMENTO, CA
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B
Broker
IA
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.