Institution record
Fidelity
- Source score
- 7.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage Financial Industry Regulatory Authority | 288590 | Regulated | Fidelity Personal and Workplace Advisors LLC | 2017-11-13 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Fidelity against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Fidelity (this record) | FINRA | 1 / 1 | Risk level not supplied | 7.0 | 0 |
SCBIIROCU.S. Securities and Exchange Commission (SEC)+1 | 3 / 4 | Risk level not supplied | 5.0 | 0 | |
FINRA | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
FINRA | 0 / 1 | Risk level not supplied | 5.0 | 0 | |
FINRA | 1 / 1 | Risk level not supplied | 5.0 | 0 | |
FINRA | 1 / 1 | Risk level not supplied | 5.0 | 0 |
Fidelity: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Fidelity's regulatory licence status and supervisory authorisation?
In our imported dataset, Fidelity (legal entity reference: Fidelity) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence 288590, status: regulated. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official FINRA public register.
Which of Fidelity's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on stock brokers, investment platforms and wealth managers. 1 of Fidelity's 1 licence records fall directly within this jurisdictional mandate: FINRA (licence 288590, regulated, entity: Fidelity Personal and Workplace Advisors LLC). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is Fidelity's institutional risk classification, enforcement exposure, and score profile?
Fidelity carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 7.0, risk & licensing: 8.0, brand: 7.0, market influence: 7.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to Fidelity's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Fidelity, institutional and retail allocators should: (1) confirm the domain (fidelity.com/trading/the-fidelity-account) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Fidelity's supervisory scope.
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