Katarina Stein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

Series 66Series 10Series 9SIESeries 7

Registered states (23)

Alabama · Arizona · California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Maine · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Texas · Virginia · West Virginia

Years in the industry (source record)

20

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (24)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Annapolis, MD · IA capacity
  Mar 31, 2025 → present
• Fidelity Brokerage Services LLCCurrent

  Edgewater, MD · BD capacity
  Feb 17, 2021 → present
• Fidelity Brokerage Services LLCCurrent

  Annapolis, MD · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  IA capacity
  Feb 26, 2021 → Mar 31, 2025
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  BD capacity
  Sep 24, 2020 → Feb 8, 2021
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  IA capacity
  Sep 24, 2020 → Feb 8, 2021
• Ameriprise Financial Services, LLC

  BD capacity
  Aug 29, 2018 → Aug 13, 2020
• Ameriprise Financial Services, LLC.

  IA capacity
  Aug 29, 2018 → Aug 13, 2020
• Allstate Financial Services, LLC

  BD capacity
  Apr 18, 2018 → Aug 16, 2018
• Allstate Financial Advisors, LLC

  IA capacity
  Apr 18, 2018 → Aug 16, 2018
• Charles Schwab & Co., Inc.

  BD capacity
  Sep 1, 2015 → Apr 13, 2018
• Charles Schwab & Co., Inc.

  IA capacity
  Sep 1, 2015 → Apr 13, 2018
• Capital One Advisors, LLC

  IA capacity
  Jan 28, 2015 → Aug 11, 2015
• Capital One Investing, LLC

  BD capacity
  Jan 2, 2015 → Aug 11, 2015
• Capital One Financial Advisors LLC

  IA capacity
  Apr 24, 2014 → Jan 28, 2015
• Capital One Investment Services LLC

  BD capacity
  Apr 24, 2014 → Jan 2, 2015
• Wells Fargo Advisors, LLC

  BD capacity
  Apr 22, 2010 → Apr 22, 2014
• Wells Fargo Advisors, LLC

  IA capacity
  Apr 22, 2010 → Apr 22, 2014
• M&t Securities, Inc.

  BD capacity
  Aug 22, 2008 → Mar 19, 2010
• M&t Securities, Inc.

  IA capacity
  Aug 22, 2008 → Mar 19, 2010
• Pnc Investments

  IA capacity
  Aug 22, 2007 → Aug 13, 2008
• Pnc Investments

  BD capacity
  Jul 3, 2007 → Aug 13, 2008
• Ameriprise Financial Services, Inc.

  IA capacity
  Jun 20, 2006 → Sep 1, 2006
• Ameriprise Financial Services, Inc.

  BD capacity
  Jun 2, 2006 → Sep 1, 2006

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.

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