Ami R. Hindia
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.
Ami Rashmikant Hindia, who also goes by Ami R Hindia, Ami Rashmikant Hindia, was a registered financial professional .
Ami is a previously registered financial professional and started their career in finance in 2000. Ami had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2022 - September 26, 2025
FIDELITY BROKERAGE SERVICES LLC
January 7, 2011 - January 7, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
April 23, 2007 - May 4, 2010
BOFA ADVISORS, LLC
November 8, 2006 - May 4, 2010
BOFA DISTRIBUTORS, INC.
March 16, 2006 - November 7, 2006
UBS ASSET MANAGEMENT (US) INC.
January 1, 2005 - December 20, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
October 7, 2004 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 10, 2000 - September 28, 2004
DWS DISTRIBUTORS, 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
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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