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Detailed Report
ANDREW KISER ROAKE
CRD#: 6406070
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 100 HOWE DRIVE
COVINGTON, KY 41015
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 100 HOWE DRIVE
COVINGTON, KY 41015
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2014 - 2021 (6 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2020 - 2021 (1 year)
License(s)

State Registrations

B
Alabama 12/6/2022
B
Montana 12/6/2022
B
Alaska 12/6/2022
B
Nebraska 12/6/2022
B
Arizona 12/6/2022
B
Nevada 12/6/2022
B
Arkansas 12/6/2022
B
New Hampshire 12/6/2022
B
California 12/6/2022
B
New Jersey 12/6/2022
B
Colorado 12/6/2022
B
New Mexico 12/6/2022
B
Connecticut 12/6/2022
B
New York 12/6/2022
B
Delaware 12/6/2022
B
North Carolina 12/6/2022
B
District of Columbia 12/6/2022
B
North Dakota 12/6/2022
B
Florida 12/6/2022
B
Ohio 12/6/2022
B
Georgia 12/6/2022
B
Oklahoma 12/6/2022
B
Hawaii 12/6/2022
B
Oregon 12/6/2022
B
Idaho 12/6/2022
B
Pennsylvania 12/6/2022
B
Illinois 12/6/2022
B
Puerto Rico 12/6/2022
B
Indiana 12/6/2022
B
Rhode Island 12/6/2022
B
Iowa 12/6/2022
B
South Carolina 12/6/2022
B
Kansas 12/6/2022
B
South Dakota 12/6/2022
B
Kentucky 12/6/2022
B
Tennessee 12/6/2022
IA
Kentucky 12/16/2022
B
Texas 12/6/2022
B
Louisiana 12/6/2022
B
Utah 12/6/2022
B
Maine 12/6/2022
B
Vermont 12/6/2022
B
Maryland 12/6/2022
B
Virgin Islands 12/6/2022
B
Massachusetts 12/6/2022
B
Virginia 12/6/2022
B
Michigan 12/6/2022
B
Washington 12/6/2022
B
Minnesota 12/6/2022
B
West Virginia 12/6/2022
B
Mississippi 12/6/2022
B
Wisconsin 12/6/2022
B
Missouri 12/6/2022
B
Wyoming 12/6/2022

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)
100 HOWE DRIVE, COVINGTON, KY 41015
Registered with this firm since 12/16/2022
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
100 HOWE DRIVE, COVINGTON, KY 41015
HIGHLAND HGTS, KY
Registered with this firm since 12/6/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/21/2020 - 10/08/2021 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) COVINGTON, KY
B
 11/17/2014 - 10/08/2021 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) COVINGTON, KY
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.