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Designated Brokerage Services

With over 17 years of experience as a designated broker, we can help you effectively and efficiently oversee your employees' investment and trading activities. Working with Fidelity will give your employees access to our exceptional service and range of investment options.

A strategic partner in your company's success

Monitor your employees' accounts with greater efficiency using our Designated Brokerage Services (DBS) platform. Our platform provides comprehensive reporting and allows you to see both detailed and aggregated trade data. In addition, our trading and position data feed can be integrated with your compliance software or sent to a third-party aggregator, helping to automate your monitoring efforts.

Key features:

  • Access real-time data on employee trading activity, including order and execution details, positions, and history.
  • Integrate your trading restrictions into the platform so you can proactively keep employees from potential violations.
  • Download statements and transactional data for additional analysis.
  • Request reporting and duplicate statement information, and submit service requests electronically.

At Fidelity, we consider every relationship an opportunity to build trust, exceed expectations, and demonstrate a long-term commitment to you and your employees' success. Whether you're focused on long-term business strategy or day-to-day monitoring and reporting, we are here to help you every step of the way.

Your dedicated support team includes:

  • Strategic relationship managers—An experienced, consultative professional will work one-on-one with your firm to ensure your strategic compliance goals are met and that your employees have an unparalleled experience.
  • Client service managers—The team will provide technical support for your firm's day-to-day service needs. They will help resolve technical issues and assist with the use of our technology platform.
  • Operations service team—A team of specialists, focused on your firm's specific needs, will partner with you from on-boarding through account maintenance.

We offer industry-leading investment and trading products and services to help your employees get the most out of their investments. Whether they're advanced traders or just starting out, we have the education, tools, and insights they need to be more confident and successful investors.

Our offering includes:

Great Value

  • Get $7.95 online U.S. equity trades, lower than Schwab, TD Ameritrade, and E*Trade.4
  • Buy 70 iShares and 10 Fidelity ETFs commission-free online.
  • Enjoy free, unlimited checkwriting and a no-fee cash rewards card.5

Guidance and Research

  • Get free, one-on-one guidance to help you plan and manage your investments.
  • Get powerful screening and planning tools.
  • Access the largest selection of free, independent research reports.

Investment Choice

  • Trade common and preferred stock, fixed income, ETFs, and options.
  • Access over 5,000 mutual funds from Fidelity and other companies and over 1,400 exchange-traded products.
  • Get professional account management through our Portfolio Advisory Service.6
DBS-accolades

Questions?

Call a Designated Brokerage Services representative

Free commission offer applies to online purchases of 65 iShares® ETFs and Fidelity ETFs in a Fidelity brokerage account with a minimum opening balance of $2,500. The sale of ETFs are subject to an activity assessment fee (of between $0.01 to $0.03 per $1000 of principal) by Fidelity. After January 31, 2014, Fidelity ETFs are subject to a short-term trading fee by Fidelity, if held less than 30 days.
ETFs are subject to market fluctuation and the risks of their underlying investments. ETFs are subject to management fees and other expenses. Unlike mutual funds, ETF shares are bought and sold at market price, which may be higher or lower than their NAV, and are not individually redeemed from the fund.
1. Barron's, March 2009, 2010, 2011, 2012 and 2013. Industry review of leading online brokers: 25 in 2009; 22 from 2009-2011; 27 in 2012; and 24 in 2013. Fidelity was ranked best online broker for long-term investing and fifth overall in 2009, sixth overall in 2010 and 2011, eleventh overall in 2012, and ninth overall in 2013. Overall ranking based on unweighted ratings in the following categories: trading experience and technology, usability, mobile, range of offerings, research amenities, portfolio analysis and reports, customer services and education, and cost.
2. Investor's Business Daily, January 2013. Fidelity was named a top five broker among USAA Brokerage, Charles Schwab, ThinkorSwim and TradeStation. Fidelity scored among the highest in research tools, ETF choices, Portfolio Analysis and Reports, Investment Research, Educational Resources, Tax Preparation Tool and Customer Service. Results were based on having the highest Customer Experience Index within 12 subcategories, as scored by 10, 250 visitors to the IBD website.
3. SmartMoney magazine, June 2010, 2011, and June 2012. Industry review ranking 17 leading discount brokers in 2010, 10 in 2011, and 10 in 2012. Results based on ratings in the following categories: commissions and fees, mutual funds and investment products, banking services, trading tools, research, and customer service. Criteria not equally weighted.
4. $7.95 commission applies to online U.S. equity trades in a Fidelity account with a minimum opening balance of $2,500 for Fidelity Brokerage Services LLC retail clients. Sell orders are subject to an activity assessment fee (of between $0.01 to $0.03 per $1,000 of principal) by Fidelity. Other conditions may apply. See Fidelity.com/commissions for details.
Commission comparison based upon published website commission schedules, as of 2/1/2013, for E*Trade, Schwab, and TD Ameritrade for online U.S. equity trades. For E*Trade: $9.99 per trade for 0-149, $7.99 per trade for 150 to 1,499 and $6.99 per trade for 1,500 or more trades per quarter. For Schwab: $8.95 for up to 999,999 shares per trade, though orders of 10,000 or more shares or greater than $500,000 may be eligible for special pricing. For TD Ameritrade: $9.99 per market or limit order trade for an unlimited amount of shares.
5. This credit card program is issued and administered by FIA Card Services, N.A., which is not an affiliate of Fidelity Investments. American Express is a federally registered service mark of American Express and is used by the issuer pursuant to a license.
6. Fidelity Portfolio Advisory Service is a service of Strategic Advisers, Inc., a registered investment adviser and a Fidelity Investments company. This service provides discretionary money management for a fee.
For iShares ETFs, Fidelity receives compensation from the ETF sponsor and/or its affiliates in connection with an exclusive, long-term marketing program that includes promotion of iShares ETFs and inclusion of iShares funds in certain FBS platforms and investment programs. Additional information about the sources, amounts, and terms of compensation is described in the ETF's prospectus and related documents. Fidelity may add or waive commissions on ETFs without prior notice. BlackRock and iShares are registered trademarks of BlackRock, Inc. and its affiliates.
© 2014 FMR LLC. All rights reserved.
Before investing, consider the investment objectives, risks, charges, and expenses of the fund, 529 plan or annuity and its investment options. Contact Fidelity for a prospectus or fact kit or, if available, a summary prospectus containing this information. Read it carefully.
Fidelity Brokerage Services LLC, Member NYSE, SIPC, 900 Salem Street, Smithfield, RI 02917
681811.1.1