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Detailed Report
NICHOLAS RONALD SZWEDA
Nicholas RONALD Szweda, Nicholas Szweda
CRD#: 7379736
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 ST. LOUIS, MO
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 ST. LOUIS, MO
Registration History
202120222023202420252026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2023 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2022 - Present (3 years)BTD AMERITRADE, INC. (CRD# 7870)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 2/2/2022
B
Montana 2/2/2022
B
Alaska 2/2/2022
B
Nebraska 2/2/2022
B
Arizona 2/2/2022
B
Nevada 2/2/2022
B
Arkansas 2/2/2022
B
New Hampshire 2/2/2022
B
California 2/2/2022
B
New Jersey 2/2/2022
B
Colorado 2/2/2022
B
New Mexico 2/2/2022
B
Connecticut 2/2/2022
B
New York 2/2/2022
B
Delaware 2/2/2022
B
North Carolina 2/2/2022
B
District of Columbia 2/2/2022
B
North Dakota 2/2/2022
B
Florida 2/2/2022
B
Ohio 2/2/2022
B
Georgia 2/2/2022
B
Oklahoma 2/2/2022
B
Hawaii 2/2/2022
B
Oregon 2/2/2022
B
Idaho 2/2/2022
B
Pennsylvania 2/2/2022
B
Illinois 2/2/2022
B
Puerto Rico 2/2/2022
B
Indiana 2/2/2022
B
Rhode Island 2/2/2022
B
Iowa 2/2/2022
B
South Carolina 2/2/2022
B
Kansas 2/2/2022
B
South Dakota 2/2/2022
B
Kentucky 2/2/2022
B
Tennessee 2/2/2022
B
Louisiana 2/2/2022
B
Texas 2/2/2022
B
Maine 2/2/2022
IA
Texas 1/25/2023
B
Maryland 2/2/2022
B
Utah 2/2/2022
B
Massachusetts 2/2/2022
B
Vermont 2/2/2022
B
Michigan 2/2/2022
B
Virginia 2/2/2022
B
Minnesota 2/2/2022
B
Washington 2/2/2022
B
Mississippi 2/2/2022
B
West Virginia 2/2/2022
B
Missouri 2/2/2022
B
Wisconsin 2/2/2022
IA
Missouri 1/25/2023
B
Wyoming 2/2/2022

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)
ST. LOUIS, MO
Registered with this firm since 1/25/2023
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
ST. LOUIS, MO
Registered with this firm since 2/2/2022
Previous Registration(s)
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B
 09/10/2021 - 11/18/2021 TD AMERITRADE, INC. (CRD#:7870) ST. LOUIS, MO
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.