BM
Britton A. Maier
FIDELITY BROKERAGE SERVICES LLC
Covington, KY 41015
Some features on this profile are disabled
CRD#: 2465223
BM
Professional summary
Britton A Maier, who also goes by Britton Andrew Maier, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Britton is registered as a RR (Registered Representative) and started their career in finance in 1994. Britton has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Britton Andrew Maier
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.
CRS (Client Relationship Summary) - BD
Click below to view Britton A Maier's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 1, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Magellan, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
April 15, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
COVINGTON, KY
Past
May 23, 2002 - April 26, 2004
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
January 7, 1999 - October 30, 2001
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
January 7, 1999 - October 30, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
March 11, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 11, 1994 - December 8, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/24/2025)
RR
Alaska(3/24/2025)
RR
Arizona(3/24/2025)
RR
Arkansas(3/24/2025)
RR
California(3/24/2025)
RR
Colorado(3/24/2025)
RR
Connecticut(1/1/2008)
RR
Delaware(1/6/2023)
RR
District of Columbia(3/24/2025)
RR
Florida(1/5/2010)
RR
Georgia(4/23/2013)
RR
Hawaii(3/24/2025)
RR
Idaho(3/24/2025)
RR
Illinois(4/13/2010)
RR
Indiana(3/24/2025)
RR
Iowa(3/24/2025)
RR
Kansas(3/24/2025)
RR
Kentucky(1/1/2008)
RR
Louisiana(3/24/2025)
RR
Maine(1/6/2023)
RR
Maryland(1/1/2008)
RR
Massachusetts(11/22/2010)
RR
Michigan(3/24/2025)
RR
Minnesota(3/24/2025)
RR
Mississippi(3/24/2025)
RR
Missouri(3/24/2025)
RR
Montana(3/24/2025)
RR
Nebraska(3/24/2025)
RR
Nevada(3/24/2025)
RR
New Hampshire(1/6/2023)
RR
New Jersey(5/21/2008)
RR
New Mexico(3/24/2025)
RR
New York(1/1/2008)
RR
North Carolina(3/24/2025)
RR
North Dakota(3/24/2025)
RR
Ohio(1/1/2008)
RR
Oklahoma(3/24/2025)
RR
Oregon(3/24/2025)
RR
Pennsylvania(11/22/2010)
RR
Rhode Island(3/24/2025)
RR
South Carolina(3/24/2025)
RR
South Dakota(3/24/2025)
RR
Tennessee(3/24/2025)
RR
Texas(1/12/2021)
RR
Utah(3/24/2025)
RR
Vermont(1/6/2023)
RR
Virginia(3/24/2025)
RR
Washington(3/24/2025)
RR
West Virginia(3/24/2025)
RR
Wisconsin(3/24/2025)
RR
Wyoming(3/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/18/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
