Thomas Fisher

CRD 4975954 · Fidelity Brokerage Services LLC · Newport Beach, CA

IA RegisteredBroker

Also appears in the source record as: Thomas John Fisher

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (19): Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Illinois · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Oregon · Pennsylvania · Texas · Utah · Washington
Years in the industry (source record): 18
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 (13)

From the source registration record · current first

Strategic Advisers LLCCurrent
Anaheim, CA · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Newport Beach, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Newport Beach, CA · IA capacity

Mar 3, 2022 → Mar 31, 2025
E*trade Capital Management, LLC
Irvine, CA · IA capacity

Mar 12, 2013 → Feb 7, 2022
E*trade Securities LLC
Irvine, CA · BC capacity

Mar 4, 2013 → Feb 7, 2022
Raymond James Financial Services Advisors, Inc
Newport Beach, CA · IA capacity

Jun 28, 2012 → Dec 20, 2012
Raymond James Financial Services, Inc.
Newport Beach, CA · BC capacity

Jun 26, 2012 → Dec 20, 2012
Cuna Brokerage Services, Inc.
Cerritos, CA · IA capacity

May 14, 2010 → Aug 2, 2011
Cuna Brokerage Services, Inc.
Cerritos, CA · BC capacity

May 14, 2010 → Aug 2, 2011
Citigroup Global Markets Inc.
Los Angeles, CA · IA capacity

Nov 30, 2007 → Apr 20, 2009
Citigroup Global Markets Inc.
Los Angeles, CA · BC capacity

Nov 30, 2007 → Apr 20, 2009
Wells Fargo Investments, LLC
Berkeley, CA · IA capacity

Oct 24, 2005 → Jul 19, 2007
Wells Fargo Investments, LLC
Berkeley, CA · BC capacity

Sep 5, 2005 → Jul 19, 2007

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4975954 ↗ FINRA BrokerCheck record for CRD 4975954 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.