Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KYLE JAMES SMITH
Kyle Smith
CRD#: 7138966
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 LAS VEGAS, NV
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 LAS VEGAS, NV
Registration History
20192020202120222023202420252026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2020 - Present (4 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2019 - Present (5 years)
License(s)

State Registrations

B
Alabama 1/3/2020
B
Nevada 1/3/2020
B
Alaska 1/3/2020
IA
Nevada 9/11/2023
B
Arizona 9/11/2019
B
New Hampshire 1/3/2020
B
Arkansas 1/3/2020
B
New Jersey 9/11/2019
B
California 9/11/2019
B
New Mexico 1/3/2020
B
Colorado 8/30/2019
B
New York 9/11/2019
IA
Colorado 10/6/2020
B
North Carolina 9/11/2019
B
Connecticut 9/11/2019
B
North Dakota 1/3/2020
B
Delaware 1/3/2020
B
Ohio 9/12/2019
B
District of Columbia 1/3/2020
B
Oklahoma 1/3/2020
B
Florida 9/11/2019
B
Oregon 1/3/2020
B
Georgia 9/11/2019
B
Pennsylvania 9/11/2019
B
Hawaii 1/3/2020
B
Puerto Rico 1/3/2020
B
Idaho 1/3/2020
B
Rhode Island 1/3/2020
B
Illinois 9/11/2019
B
South Carolina 1/3/2020
B
Indiana 9/11/2019
B
South Dakota 1/3/2020
B
Iowa 1/3/2020
B
Tennessee 1/3/2020
B
Kansas 1/3/2020
B
Texas 9/11/2019
B
Kentucky 1/3/2020
IA
Texas 10/6/2020
B
Louisiana 1/3/2020
B
Utah 1/3/2020
B
Maine 1/3/2020
IA
Utah 9/7/2023
B
Maryland 9/11/2019
B
Vermont 1/3/2020
B
Massachusetts 9/11/2019
B
Virgin Islands 1/3/2020
B
Michigan 9/11/2019
B
Virginia 9/11/2019
B
Minnesota 9/11/2019
B
Washington 9/11/2019
B
Mississippi 1/3/2020
B
West Virginia 1/3/2020
B
Missouri 9/11/2019
B
Wisconsin 9/11/2019
B
Montana 1/3/2020
B
Wyoming 1/3/2020
B
Nebraska 1/3/2020

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)
LAS VEGAS, NV
Registered with this firm since 10/6/2020
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
LAS VEGAS, NV
Registered with this firm since 8/30/2019
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.