Aneep D. Maniar
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.
Aneep Dilip Maniar, who also goes by Aneep D Maniar, was a registered financial professional .
Aneep is a previously registered financial professional and started their career in finance in 1993. Aneep had worked at 9 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - January 10, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
May 13, 2014 - March 8, 2016
CHARLES SCHWAB INVESTMENT ADVISORY, INC
December 18, 2008 - December 31, 2009
CHARLES SCHWAB & CO., INC.
May 23, 2008 - December 31, 2009
CHARLES SCHWAB & CO., INC.
June 21, 2004 - May 9, 2007
VICTORY CAPITAL MANAGEMENT INC.
May 10, 2000 - March 22, 2004
ROXBURY CAPITAL MANAGEMENT LLC
July 22, 1997 - August 29, 1997
SPECTRUM SECURITIES, INC.
August 9, 1995 - March 24, 1997
SMITH CULVER INVESTMENTS
June 22, 1994 - June 20, 1995
KENNEDY, CABOT & CO.
April 7, 1993 - July 16, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
