Emily Mallick

CRD 5165257 · Fidelity Brokerage Services LLC · Smithfield, RI

IA RegisteredBroker

Also appears in the source record as: Emily C Mallick; Emily Catherine Mallick

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (6): California · Louisiana · Maryland · Mississippi · North Carolina · Texas
Years in the industry (source record): 20
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
New Orleans, LA · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
New Orleans, LA · BD capacity

Apr 22, 2016 → present
Fidelity Brokerage Services LLCCurrent
Smithfield, RI · BC capacity

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

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

Jun 13, 2017 → Jul 13, 2018
Ameriprise Financial Services, Inc.
IA capacity

Apr 4, 2016 → Apr 4, 2016
Ameriprise Financial Services, Inc.
BD capacity

Dec 23, 2015 → Apr 4, 2016
Scottrade, Inc.
BD capacity

Feb 10, 2010 → Aug 20, 2015
Ubs Financial Services Inc.
BD capacity

Oct 14, 2009 → Jan 15, 2010
Ubs Financial Services Inc.
IA capacity

Oct 8, 2009 → Jan 15, 2010
Ubs Financial Services Inc.
IA capacity

Oct 2, 2007 → Jul 24, 2008
Ubs Financial Services Inc.
BD capacity

Aug 14, 2007 → Jul 24, 2008
Fidelity Brokerage Services LLC
BD capacity

Sep 22, 2006 → May 1, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5165257 ↗ FINRA BrokerCheck record for CRD 5165257 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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