FIDELITY BROKERAGE SERVICES LLC

1 BrokerCheck ReportFIDELITY BROKERAGE SERVICES LLCS ection TitleReport SummaryFirm HistoryCRD# 778418 Firm Profile2 - 7 Page(s)Firm Operations9 - 28 Disclosure Events29 Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your sure you know who you re dealing with when investing, and contact FINRA with any more information read ourinvestor alerton BrokerCheck BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and BROKERAGE firms before deciding to conduct, or continue to conduct, business with them. What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards.

2 BrokerCheckreports for BROKERAGE firms include information on a firm s profile, history, and operations, as well as many of thesame disclosure events mentioned above. Please note that the information contained in a BrokerCheck report may include pending actions orallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may beresolved in favor of the broker or BROKERAGE firm, or concluded through a negotiated settlement with noadmission or finding of wrongdoing. Where did this information come from? The information contained in BrokerCheck comes from FINRA s Central Registration Depository, orCRD and is a combination of: oinformation FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and oinformation that regulators report regarding disciplinary actions or allegations against firms or brokers. How current is this information?

3 Generally, active BROKERAGE firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by BROKERAGE firms, brokersand regulators is available in BrokerCheck the next business day. What if I want to check the background of an investment adviser firm or investment adviserrepresentative? To check the background of an investment adviser firm or representative, you can search for the firm orindividual in BrokerCheck. If your search is successful, click on the link provided to view the available licensingand registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website In the alternative, you may search the IAPD website directly or contact yourstate securities regulator Are there other resources I can use to check the background of investment professionals? FINRA recommends that you learn as much as possible about an investment professional beforedeciding to work with them.

4 Your state securities regulator can help you research brokers and investment adviserrepresentatives doing business in your state. Thank you for using FINRA more information aboutFINRA, visit this site/information meansthat you accept the FINRAB rokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound atFor additional information aboutthe contents of this report, pleaserefer to the User Guidance Itprovides a glossary of terms and alist of frequently asked questions,as well as additional BROKERAGE SERVICESLLCCRD# 7784 SEC# 8-23292 Main Office Location900 SALEM STREETSMITHFIELD, RI 02917 Regulated by FINRA Boston OfficeMailing AddressTWO DESTINY WAYMAIL ZONE: WG3 DWESTLAKE, TX 76262 Business Telephone Number617-563-7000 Report Summary for this FirmThis report summary provides an overview of the BROKERAGE firm. Additional information for this firm can be foundin the detailed EventsBrokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been there events disclosed about this firm?

5 YesThe following types of disclosures have beenreported:TypeCountRegulatory Event21 Arbitration115 Firm ProfileThis firm is classified as a limited liability firm was formed in Delaware on 06/08 fiscal year ends in HistoryInformation relating to the BROKERAGE firm's historysuch as other business names and successions( , mergers, acquisitions) can be found in thedetailed OperationsIs this BROKERAGE firm currently suspended with anyregulator?NoThis firm conducts 16 types of firm is affiliated with financial or firm does not have referral or financialarrangements with other brokers or firm is registered with: the SEC 2 Self-Regulatory Organizations 53 states and Guidance1 2022 FINRA. All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceThis firm is classified as a limited liability firm was formed in Delaware on 06/08 #This section provides the BROKERAGE firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name ProfileFirm Names and LocationsIts fiscal year ends in BROKERAGE SERVICES LLCSEC#77848-23292 Main Office LocationMailing AddressBusiness Telephone NumberDoing business as FIDELITY BROKERAGE SERVICES LLC617-563-7000 Regulated by FINRA Boston Office900 SALEM STREETSMITHFIELD, RI 02917 TWO DESTINY WAYMAIL ZONE: WG3 DWESTLAKE, TX 762622 2022 FINRA.

6 All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceThis section provides information relating to all direct owners and executive officers of the BROKERAGE Owners and Executive OfficersFirm ProfilePositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm? FIDELITY GLOBAL BROKERAGE GROUP, or moreNoDomestic Entity06/2000 YesIs this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?CANTER, DAVID EDWARDEVP - HEAD OF RIA AND FAMILY OFFICE SEGMENTLess than 5%NoIndividual06/2017 Yes4155942Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipPosition Start DateCOYNE, DAVID BUTLEREXECUTIVE VICE PRESIDENTLess than 5%Individual02/20142167479Is this a domestic or foreignentity or an individual?

7 Legal Name & CRD# (if any):3 2022 FINRA. All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePercentage of OwnershipIs this a public reportingcompany?Does this owner direct themanagement or policies ofthe firm?Less than 5%NoYesPositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICERLess than 5%NoIndividual03/2021 Yes3186352Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?GOLINO, DAVID ANTHONYCHIEF FINANCIAL OFFICERLess than 5%NoIndividual06/2020 Yes5404683Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):KARIM, FARZIN2656039 Legal Name & CRD# (if any):4 2022 FINRA.

8 All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?CHIEF OPERATIONS OFFICERLess than 5%NoIndividual12/2021 Yes2656039Is this a domestic or foreignentity or an individual?PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTORLess than 5%NoIndividual04/2022 Yes2078086Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipPosition Start DateDoes this owner direct themanagement or policies ofthe firm?MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICERLess than 5%Individual08/2021 Yes5546717Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):5 2022 FINRA.

9 All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceDirect Owners and Executive Officers (continued)Firm ProfileIs this a public reportingcompany?Does this owner direct themanagement or policies ofthe firm?NoYesPositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSELLess than 5%NoIndividual07/2022 NoIs this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany?Position Start DateDoes this owner direct themanagement or policies ofthe firm?SUBRAMANIAM, SRIRAM PALGHATDIRECTORLess than 5%NoIndividual04/2013 Yes4327279Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):6 2022 FINRA. All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceThis section provides information relating to any indirect owners of the BROKERAGE OwnersFirm ProfileFMR LLCSHAREHOLDERFIDELITY GLOBAL BROKERAGE GROUP, or moreNoDomestic Entity10/2007 YesLegal Name & CRD# (if any):Is this a domestic or foreignentity or an individual?

10 Company through whichindirect ownership isestablishedRelationship to Direct OwnerRelationship EstablishedPercentage of OwnershipDoes this owner direct themanagement or policies ofthe firm?Is this a public reportingcompany?7 2022 FINRA. All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceFirm HistoryThis section provides information relating to any successions ( , mergers, acquisitions) involving the information 2022 FINRA. All rights reserved. Report about FIDELITY BROKERAGE SERVICES GuidanceFirm OperationsRegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and states and territories) with which the BROKERAGE firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC firm is currently registered with the SEC, 2 SROs and 53 states and Registration QuestionsThis firm is registered with the SEC as:A broker-dealer:A broker-dealer and government securities broker or dealer:A government securities broker or dealer only:This firm has ceased activity as a government securities broker or dealer:YesYesNoNoFederal RegulatorStatusDate EffectiveSECA pproved01/05/1979 Self-Regulatory OrganizationStatusDate EffectiveFINRAA pproved01/15/1979 New York Stock ExchangeApproved11/17/19829 2022 FINRA.