Kazi M. Ariff
Professional summary
Kazi M Ariff, who also goes by K M Ariff, Kazi Monazer Ariff, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Kazi is registered as a RR (Registered Representative) and started their career in finance in 1995. Kazi has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kazi M Ariff's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210September 25, 2014 - September 4, 2015
WMSI SECURITIES LLC
October 23, 2009 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 2007 - December 31, 2008
BOFA DISTRIBUTORS, INC.
June 30, 2006 - July 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 7, 2005 - May 8, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 6, 1997 - December 6, 2005
BROWNCO, LLC
September 28, 1995 - May 28, 1996
MORGAN STANLEY DW INC.
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
FINRA
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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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Boston, MA 02210TRUST BUT VERIFY
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