Richard Joseph Straub

CRD 2183623 · Fidelity Brokerage Services LLC · Oakdale, MN

IA RegisteredBroker

Also appears in the source record as: Rick Straub

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 66Series 63Series 9Series 10Series 4Series 24Series 8SIESeries 7
Registered states (23): Arizona · California · Florida · Idaho · Illinois · Iowa · Kentucky · Michigan · Minnesota · Montana · New Hampshire · New York · North Carolina · North Dakota · Ohio · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Washington · Wisconsin
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (17)

From the source registration record · current first

Strategic Advisers LLCCurrent
Osseo, MN · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Osseo, MN · BD capacity

May 25, 2007 → present
Fidelity Brokerage Services LLCCurrent
Oakdale, MN · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Mar 31, 2025
Strategic Advisers LLC
IA capacity

Dec 17, 2013 → Jul 13, 2018
Ifmg Securities, Inc.
BD capacity

Dec 8, 2006 → May 3, 2007
Tcf Investments, Inc.
BD capacity

Feb 6, 2006 → Dec 31, 2006
Northland Securities, Inc.
BD capacity

Jan 31, 2005 → Aug 31, 2005
Mmc Securities Corp.
BD capacity

May 14, 2001 → Jan 25, 2005
Mmc Securities Corp
IA capacity

Aug 22, 2002 → May 12, 2004
Online Brokerage Solutions, Inc.
BD capacity

Oct 3, 2000 → Jan 26, 2001
Stockwalk.Com, Inc.
BD capacity

Jun 28, 2000 → Oct 2, 2000
Ids Life Insurance Company
BD capacity

Apr 12, 2000 → Aug 1, 2000
American Express Financial Advisors Inc.
BD capacity

Apr 12, 2000 → Aug 1, 2000
Miller, Johnson & Kuehn, Incorporated
BD capacity

Jun 28, 2000 → Jun 28, 2000
Td Waterhouse Investor Services, Inc.
BD capacity

Feb 24, 1992 → Mar 8, 2000
Kober Financial Corp.
BD capacity

Oct 10, 1991 → Dec 18, 1991

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2183623 ↗ FINRA BrokerCheck record for CRD 2183623 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.