Kathryn Anne Prescott

CRD 5379730 · Fidelity Brokerage Services LLC · Smithfield, RI

IA RegisteredBroker

Also appears in the source record as: Kathy Prescott

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (52): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 19
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 (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Phoenix, AZ · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Phoenix, AZ · BD capacity

Oct 1, 2021 → present
Fidelity Brokerage Services LLCCurrent
Smithfield, RI · BC capacity

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

Oct 7, 2021 → Mar 31, 2025
Charles Schwab & Co., Inc.
IA capacity

May 26, 2020 → Aug 20, 2021
Charles Schwab & Co., Inc.
BD capacity

May 23, 2020 → Aug 20, 2021
Usaa Investment Management Company
IA capacity

Jan 8, 2018 → May 24, 2020
Usaa Financial Advisors, Inc.
BD capacity

Oct 4, 2007 → May 24, 2020
Usaa Financial Planning Services
IA capacity

Dec 11, 2008 → Jan 8, 2018
Usaa Investment Management Company
IA capacity

Oct 23, 2007 → Dec 31, 2008
Usaa Investment Management Company
BD capacity

Sep 20, 2007 → Dec 31, 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 5379730 ↗ FINRA BrokerCheck record for CRD 5379730 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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