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Richard Joseph Cafeo

Fidelity Brokerage Services LLC

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About Richard Joseph Cafeo

Richard Joseph Cafeo has been in the securities industry since November 4, 2001. Richard is currently registered with Fidelity Brokerage Services LLC and has been with the firm since February 4, 2014. Richard previously worked at Northwestern Mutual Investment Services, LLC, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. Richard holds Series 6, 7, 24, 26 and SIE licenses. Richard is currently licensed in 53 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.

Firm Information

Richard Cafeo 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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Richard Cafeo’s Registration & Firm History

RI

02/04/2014 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

VA

03/01/2010 - 01/10/2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (RESTON VA)

VA

01/01/2008 - 02/19/2009

FIDELITY BROKERAGE SERVICES LLC (ALEXANDRIA VA)

MA

10/03/2000 - 01/01/2008

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MARLBOROUGH MA)

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Licenses & Designations

BC

Issued 02/11/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/11/2016

Series 24 - General Securities Principal Examination

BC

Issued 05/11/2005

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/2015

Series 7 - General Securities Representative Examination

BC

Issued 10/02/2000

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 Richard Joseph Cafeo.
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