Dave M. Malhotra

CRD 6913927 · Fidelity Brokerage Services LLC · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Dave M Malhotra; Dave Arjun Malhotra; Dave Malhotra; David Malhotra

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSIESeries 6Series 65Series 63
Registered states (2): California · Texas
Years in the industry (source record): 7
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 (8)

From the source registration record · current first

Strategic Advisers LLCCurrent
Brentwood, CA · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Santa Clarita, CA · IA capacity

Apr 17, 2024 → Mar 31, 2025
E*trade Capital Management, LLC
Los Angeles, CA · IA capacity

Dec 21, 2022 → Apr 17, 2023
E*trade Securities LLC
Los Angeles, CA · BC capacity

Dec 21, 2022 → Apr 17, 2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Santa Monica, CA · IA capacity

Jul 29, 2019 → Dec 19, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Santa Monica, CA · BC capacity

Apr 15, 2019 → Dec 19, 2022
U.S. Bancorp Investments, Inc.
Marina Del Rey, CA · BC capacity

Feb 23, 2018 → Apr 8, 2019

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6913927 ↗ FINRA BrokerCheck record for CRD 6913927 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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