David Whitfield

CRD 4123308 · Fidelity Brokerage Services LLC · Louisville, KY

IA RegisteredBroker

Also appears in the source record as: Brian Whitfield; David Brian Whitfield

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 9SIESeries 7
Registered states (23): Arizona · California · Colorado · Florida · Georgia · Hawaii · Illinois · Indiana · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · New York · North Carolina · Ohio · Pennsylvania · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4123308 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

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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 (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Louisville, KY · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Louisville, KY · BD capacity

May 9, 2011 → present
Fidelity Brokerage Services LLCCurrent
Louisville, KY · BC capacity

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

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

May 18, 2011 → Jul 13, 2018
Charles Schwab & Co., Inc.
IA capacity

Apr 20, 2009 → Apr 25, 2011
Charles Schwab & Co., Inc.
BD capacity

Apr 13, 2009 → Apr 25, 2011
Chase Investment Services Corp.
IA capacity

Mar 13, 2008 → Feb 9, 2009
Chase Investment Services Corp.
BD capacity

Mar 12, 2008 → Feb 9, 2009
Strategic Advisers, Inc.
IA capacity

Mar 31, 2006 → Feb 1, 2008
Fidelity Brokerage Services LLC
BD capacity

Jul 18, 2001 → Feb 1, 2008

Source & corrections

Where this page comes from

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