Richard Gaff

CRD 5110218 · Fidelity Brokerage Services LLC · Palm Beach Gardens, FL

IA RegisteredBroker

Also appears in the source record as: Richard Wayne Gaff; Richard W Gaff

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 6Series 66
Registered states (31): Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Washington · Wisconsin
Years in the industry (source record): 17
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 (10)

From the source registration record · current first

Strategic Advisers LLCCurrent
Palm Beach Gardens, FL · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Palm Beach Gardens, FL · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Palm Beach Gardens, FL · IA capacity

Aug 4, 2021 → Mar 31, 2025
U.S. Bancorp Investments, Inc.
Palm Beach, FL · IA capacity

Mar 21, 2018 → Apr 20, 2021
U.S. Bancorp Investments, Inc.
Palm Beach, FL · BC capacity

Feb 16, 2018 → Apr 20, 2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Palm Beach Gardens, FL · IA capacity

Sep 28, 2016 → Dec 15, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Palm Beach Gardens, FL · BC capacity

Apr 29, 2016 → Dec 15, 2017
Citigroup Global Markets Inc.
Palm Beach, FL · BC capacity

May 29, 2007 → May 30, 2014
Citicorp Investment Services
Palm Beach, FL · BC capacity

May 4, 2007 → May 29, 2007
Pruco Securities, LLC.
Boca Raton, FL · BC capacity

May 5, 2006 → Mar 6, 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 5110218 ↗ FINRA BrokerCheck record for CRD 5110218 ↗ 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.