Neil Schraffenberger

CRD 6190504 · Fidelity Brokerage Services LLC · Broomfield, CO

IA RegisteredBroker

Also appears in the source record as: Neil David Schraffenberger

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (15): Alaska · Arizona · California · Colorado · Indiana · Iowa · Michigan · Montana · New Jersey · New Mexico · Ohio · Oregon · Texas · Utah · Wyoming
Years in the industry (source record): 12
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
Broomfield, CO · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Lakewood, CO · BD capacity

Oct 23, 2024 → present
Fidelity Brokerage Services LLCCurrent
Broomfield, CO · BC capacity

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

Nov 22, 2024 → Mar 31, 2025
Charles Schwab & Co., Inc.
BD capacity

Apr 21, 2023 → Oct 15, 2024
Charles Schwab & Co., Inc.
IA capacity

Apr 21, 2023 → Oct 15, 2024
Syntegra Private Wealth Group LLC
IA capacity

Mar 1, 2023 → Apr 21, 2023
Securities America, Inc.
BD capacity

Jun 6, 2019 → Apr 10, 2023
Securities America Advisors, Inc.
IA capacity

Jun 6, 2019 → Apr 10, 2023
Bancwest Investment Services, Inc. (Bwis) And Bwis D/B/A Fhis
IA capacity

Oct 19, 2018 → Oct 25, 2018
Bancwest Investment Services, Inc.
BD capacity

Sep 6, 2018 → Oct 25, 2018
Axa Advisors, LLC
BD capacity

Feb 10, 2014 → Sep 23, 2016

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 6190504 ↗ FINRA BrokerCheck record for CRD 6190504 ↗ 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.