Denny T. Mauldin
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.
Denny Thomas Mauldin, who also goes by Denny Mauldin, was a registered financial professional .
Denny is a previously registered financial professional and started their career in finance in 1999. Denny had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2010 - September 13, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
February 5, 2009 - June 23, 2010
STRATEGIC ADVISERS LLC
April 10, 2008 - June 21, 2010
FIDELITY BROKERAGE SERVICES LLC
December 7, 2006 - January 30, 2008
ALLSTATE FINANCIAL SERVICES, LLC
September 2, 2005 - December 8, 2006
FIRST COMMAND BROKERAGE SERVICES, INC.
April 12, 2004 - September 2, 2005
FIRST COMMAND BANK
May 27, 2003 - April 12, 2004
FIRST COMMAND BROKERAGE SERVICES, INC.
August 2, 1999 - December 8, 2006
FIRST COMMAND BROKERAGE SERVICES, 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 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
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