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Adam Joffe

Fidelity Brokerage Services LLC

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About Adam Joffe

Adam Joffe is a financial professional with over 13 years of experience in the industry. Adam is currently registered with Fidelity Brokerage Services LLC and Fidelity Distributors Co. LLC. Prior to joining these firms, Adam worked at BNY MELLON SECURITIES CORPORATION, FEF DISTRIBUTORS, LLC, DEAM INVESTOR SERVICES, INC., and PUTNAM MUTUAL FUNDS CORP. Adam holds several licenses, including Series 3, 6, 7, 24, 27, and 63. Adam is registered with the Securities and Exchange Commission (SEC) and several state securities regulators.

Firm Information

Adam Joffe is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Adam Joffe’s Registration & Firm History

MA

12/07/2022 - Present

Fidelity Brokerage Services LLC (BOSTON MA)

MA

06/06/2012 - 07/03/2019

BNY MELLON SECURITIES CORPORATION (BOSTON MA)

NY

09/21/2010 - 04/05/2012

FEF DISTRIBUTORS, LLC (NEW YORK NY)

NY

10/29/2007 - 09/20/2010

DEAM INVESTOR SERVICES, INC. (NEW YORK NY)

NA

01/04/1994 - 06/09/1994

PUTNAM MUTUAL FUNDS CORP.

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Licenses & Designations

BC

Issued 10/03/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/2011

Series 27 - Financial and Operations Principal Examination

BC

Issued 03/07/2008

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/2009

Series 3 - National Commodity Futures Examination

BC

Issued 10/26/2007

Series 7 - General Securities Representative Examination

BC

Issued 12/31/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Adam Joffe.
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