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Detailed Report
RICHARD JAMES KWASNIK
Richard James Kwasnik, Richard Kwasnik, Rick Kwasnik
CRD#: 6895025
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 778 WEST BIG BEAVER ROAD
TROY, MI 48084
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 778 WEST BIG BEAVER ROAD
TROY, MI 48084
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2021 (3 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Florida 5/12/2022
B
New York 3/2/2024
B
Illinois 2/14/2022
B
Oregon 8/29/2024
B
Kentucky 2/6/2024
B
Pennsylvania 11/17/2023
B
Michigan 11/2/2021
B
Virginia 12/12/2023
IA
Michigan 11/22/2021

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)
778 WEST BIG BEAVER ROAD, TROY, MI 48084
Registered with this firm since 11/22/2021
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
778 WEST BIG BEAVER ROAD, TROY, MI 48084
STERLING HEIGHTS, MI
Registered with this firm since 11/2/2021
Previous Registration(s)
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IA
 04/18/2018 - 10/12/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TROY, MI
B
 02/21/2018 - 10/12/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TROY, MI
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.