Dominic G. Maister
Professional summary
Dominic Gregory Maister, who also goes by Dominic Maister, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado and FIDELITY DISTRIBUTORS COMPANY LLC located in Greenwood Village, Colorado.
Dominic is registered as a RR (Registered Representative) and started their career in finance in 1999. Dominic has worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dominic Gregory Maister's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932June 26, 2024 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111January 3, 2012 - January 17, 2023
BLACKROCK INVESTMENTS, LLC
December 20, 2010 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
March 3, 2010 - September 15, 2010
MORGAN STANLEY & CO. LLC
June 1, 2009 - November 10, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 21, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
May 28, 2004 - August 22, 2006
MORGAN STANLEY & CO. LLC
March 19, 1999 - June 10, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
New York Stock Exchange
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.
