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DD

Domenic Diele

Some features on this profile are disabled
CRD#: 2353771
DD

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.

Domenic Diele was a registered financial professional .

Domenic is a previously registered financial professional and started their career in finance in 1993. Domenic had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 30, 2018 - November 22, 2019

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

April 28, 2011 - June 1, 2017

VIRTUS CAPITAL ADVISERS, LLC

RIA
CRD#: 107346
TOMS RIVER, NJ
Past

April 15, 2011 - June 1, 2017

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTLAND, ME
Past

August 30, 2004 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

August 30, 2004 - March 28, 2011

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

June 23, 2004 - March 28, 2011

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

January 3, 2001 - June 9, 2004

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

June 12, 1997 - January 1, 2001

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

January 25, 1995 - September 3, 1996

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

April 25, 1994 - December 21, 1994

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

June 14, 1993 - May 4, 1994

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/21/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/1993
General Securities Representative Examination

Current Firm

AD
AMG DISTRIBUTORS, INC.
333 GLOBAL ADVISERS | THE MANAGERS FUNDS LLC | THE MANAGERS FUNDS L.P. | THE MANAGERS FUNDS | MANAGERSCHOICE | MANAGERS INVESTMENT GROUP LLC | MANAGERS DISTRIBUTORS, INC. | MANAGERS AMG FUNDS | EAIMC PARTNERS L.P. | AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Mailing Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Phone number
(203) 299-3500
Established
Delaware since 12/29/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMG FUNDS LLCSOLE SHAREHOLDER153456
GALIS, AARONDIRECTOR7333959
HOPKINS, THOMAS JOHNPRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP1835087
JACOBS ANTONACCIO, RACHEL ELIZABETHHEAD OF CLIENT SOLUTIONS AND PRINCIPAL3189490
KINNE, KEITHA LEEPRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER2039630
SPELLMAN, PATRICK JOSEPHCHIEF COMPLIANCE OFFICER3086822

Disclosures

Regulatory Event2

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.

Company Information

AMG DISTRIBUTORS, INC.

CRD#: 27314

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