Jerry L. Niemuth
Professional summary
Jerry L Niemuth, who also goes by Jerry Lee Niemuth, Jerry Niemuth, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Jerry is registered as a RR (Registered Representative) and started their career in finance in 1994. Jerry has worked at 5 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jerry L Niemuth's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262June 12, 2018 - June 5, 2024
NATIONAL FINANCIAL SERVICES LLC
October 18, 2016 - November 7, 2017
FIDELITY BROKERAGE SERVICES LLC
December 11, 2012 - November 7, 2017
NATIONAL FINANCIAL SERVICES LLC
May 26, 2011 - July 21, 2011
ALLSTATE FINANCIAL SERVICES, LLC
May 24, 2011 - July 21, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
March 1, 2004 - June 25, 2009
STRATEGIC ADVISERS LLC
May 5, 1994 - July 14, 2009
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
(8/12/2024)
(7/17/2024)
(7/18/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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