Institution record
Fidelity
- Source score
- 7.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (selected financial house and brokerage records: united kingdom, ireland and gibraltar) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Industry Regulatory Authority | 288590 | Regulated | Fidelity Personal and Workplace Advisors LLC | 2017-11-13 |
Peer source record comparison
Compare imported fields for Fidelity and other records in our selected financial house and brokerage records: united kingdom, ireland and gibraltar dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| Fidelity (this record) | FINRA | 1 / 1 | Risk level not supplied | 7.0 | 0 |
Financial Conduct Authority (UK FCA)Financial Conduct Authority (UK FCA)ASIC+1 | 4 / 4 | Risk level not supplied | 6.0 | 0 | |
Financial Conduct AuthorityFSPRCYSEC | 3 / 3 | Risk level not supplied | 7.9 | 0 | |
Financial Conduct AuthorityASICDFSA+3 | 4 / 6 | Risk level not supplied | 7.0 | 0 | |
Financial Conduct AuthorityCYSECFinancial Services Authority Seychelles | 3 / 3 | Risk level not supplied | 7.0 | 0 | |
Financial Conduct AuthorityFSCAASIC | 1 / 3 | Risk level not supplied | 7.0 | 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?
The imported dataset contains 1 licence entry associated with Fidelity (legal entity reference: Fidelity); 1 are labelled "regulated" and 1 are labelled regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence 288590, status: regulated. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official FINRA public register.
Which of Fidelity's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's selected financial house and brokerage records: united kingdom, ireland and gibraltar source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
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 imported source lists 0 exposure entries. 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 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.