Dina Mabasa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dina Mabasa, who also goes by Dina Nelda Mabas, Dina Nelda Mabasa, Dina Valdez Mabasa, Dina N. Mabasa, Dina Valdez, was a registered financial professional .
Dina is a previously registered financial professional and started their career in finance in 1983. Dina had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2021 - December 19, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 30, 2021 - December 19, 2024
FIDELITY BROKERAGE SERVICES LLC
March 16, 2021 - July 27, 2021
AVANTAX INVESTMENT SERVICES, INC.
January 11, 2011 - May 23, 2019
FLAGSTAR ADVISORS
October 12, 2000 - July 15, 1999
BRIGHTWATER CAPITAL MANAGEMENT
July 12, 1996 - October 28, 1998
INVESCO DISTRIBUTORS, INC.
November 19, 1993 - March 27, 1995
WESTCAP SECURITIES, L.P.
May 6, 1986 - April 27, 1993
TEXAS COMMERCE BROKERAGE
November 28, 1983 - March 14, 1984
LOVETT MITCHELL WEBB & GARRISON, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
