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Michael David Hauben

Fidelity Brokerage Services LLC

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About Michael David Hauben

Michael Hauben has been in the financial services industry since January 16, 2002. Michael is currently registered with Fidelity Brokerage Services LLC in Boston, MA. Michael has experience with Fidelity Distributors Corporation, Fidelity Investments Institutional Services Company, Inc., and Charles Schwab & Co., Inc. Michael has passed the Series 6, 7, 9, 10, 63, and 66 exams and holds licenses in Florida, Massachusetts, Texas, and Utah.

Firm Information

Michael Hauben 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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Michael Hauben’s Registration & Firm History

MA

02/14/2011 - Present

Fidelity Brokerage Services LLC (BOSTON MA)

RI

12/06/2005 - 11/09/2007

FIDELITY BROKERAGE SERVICES LLC (PROVIDENCE RI)

MA

12/06/2005 - 09/15/2006

FIDELITY DISTRIBUTORS CORPORATION (BOSTON MA)

RI

05/14/2004 - 11/07/2005

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

04/05/2001 - 05/14/2004

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

TX

08/24/2000 - 03/21/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

RI

10/09/1997 - 10/01/1999

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 04/01/2011

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 06/27/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/05/2018

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/05/2017

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/31/2017

Series 7 - General Securities Representative Examination

BC

Issued 02/11/2011

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 Michael David Hauben.
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