Michael Sonier
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.
Michael Sonier, who also goes by Michael J Sonier, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - March 4, 2020
FIDELITY DISTRIBUTORS COMPANY LLC
November 1, 2018 - October 18, 2021
FIDELITY BROKERAGE SERVICES LLC
July 29, 2013 - February 12, 2016
FIDELITY DISTRIBUTORS CORPORATION
July 29, 2013 - August 16, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
March 22, 2010 - April 2, 2018
FIDELITY BROKERAGE SERVICES LLC
October 22, 2009 - December 9, 2009
FIDELITY BROKERAGE SERVICES LLC
July 14, 2006 - October 18, 2021
NATIONAL FINANCIAL SERVICES LLC
July 17, 2003 - February 26, 2007
FIDELITY BROKERAGE SERVICES LLC
February 24, 2000 - July 14, 2003
NATIONAL FINANCIAL SERVICES LLC
October 20, 1998 - February 29, 2000
FIDELITY BROKERAGE SERVICES LLC
June 2, 1998 - October 20, 1998
NATIONAL FINANCIAL SERVICES LLC
November 21, 1989 - June 2, 1998
FIDELITY BROKERAGE SERVICES LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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