Frank J. Novelli

CRD 5546064 · Fidelity Brokerage Services LLC · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Frank J Novelli; Frank Joseph Novelli; Frank Novelli

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 34Series 7Series 3
Registered states (20): Arizona · California · District Of Columbia · Florida · Illinois · Indiana · Iowa · Massachusetts · Michigan · Minnesota · Missouri · New Jersey · New Mexico · New York · Ohio · Pennsylvania · Rhode Island · Tennessee · Texas · Wisconsin
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 (12)

From the source registration record · current first

Strategic Advisers LLCCurrent
Chicago, IL · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Park Ridge, IL · BD capacity

Aug 28, 2023 → present
Fidelity Brokerage Services LLCCurrent
Chicago, IL · BC capacity

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

Sep 15, 2023 → Mar 31, 2025
Charles Schwab & Co., Inc.
BD capacity

Jan 26, 2022 → Aug 21, 2023
Charles Schwab & Co., Inc.
IA capacity

Jan 26, 2022 → Aug 21, 2023
Td Ameritrade, Inc.
BD capacity

Apr 15, 2021 → Aug 21, 2023
Td Ameritrade Investment Management, LLC
IA capacity

Apr 15, 2021 → Aug 21, 2023
Td Ameritrade, Inc.
IA capacity

Apr 15, 2021 → Oct 14, 2022
Nuveen Asset Management, LLC
IA capacity

Aug 11, 2014 → Aug 7, 2020
Nuveen Securities, LLC
BD capacity

Jul 22, 2014 → Aug 7, 2020
Tradestation Securities, Inc.
BD capacity

Jul 24, 2008 → Jul 2, 2014

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 5546064 ↗ FINRA BrokerCheck record for CRD 5546064 ↗ 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.