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STEPHEN F ROSSI
Stephen F Rossi, Stephen Rossi
CRD#: 6678496
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 8 MONTGOMERY STREET
SAN FRANCISCO, CA 94104
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 WALNUT CREEK, CA
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 10/8/2021

B
Nebraska 10/9/2020

B
California 8/6/2019

B
Nevada 4/23/2020

IA
California 8/29/2019

B
New Jersey 3/4/2022

B
Colorado 3/4/2022

B
New York 8/8/2020

B
District of Columbia 8/8/2020

B
North Carolina 3/4/2022

B
Florida 2/6/2020

B
Ohio 4/24/2020

B
Georgia 4/23/2020

B
Oregon 4/23/2020

B
Hawaii 2/6/2020

B
Pennsylvania 10/8/2021

B
Illinois 8/8/2020

B
South Dakota 2/12/2021

B
Maryland 9/29/2023

B
Texas 4/23/2020

B
Massachusetts 3/1/2024

IA
Texas 5/13/2020

B
Michigan 8/8/2020

B
Virginia 11/16/2020

B
Minnesota 11/16/2020

B
Washington 8/8/2020

B
Missouri 4/23/2020

B
Wisconsin 9/27/2022

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)
8 MONTGOMERY STREET, SAN FRANCISCO, CA 94104
Registered with this firm since 8/29/2019

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
WALNUT CREEK, CA
44 MONTGOMERY ST STE 2350, SAN FRANCISCO, CA 94104
Registered with this firm since 8/6/2019

Previous Registration(s)
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IA
10/10/2016 - 07/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, CA
B
08/29/2016 - 07/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKLAND, 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.