Danielle N. Guarino
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.
Danielle Nicole Guarino, CFP®, who also goes by Danielle Nicole Dempsey, was a registered financial professional .
Danielle is a previously registered financial professional and started their career in finance in 2008. Danielle had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2014
Experience
December 8, 2020 - January 31, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 15, 2020 - January 28, 2022
FIDELITY BROKERAGE SERVICES LLC
June 7, 2016 - October 1, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
May 27, 2016 - October 1, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
May 27, 2010 - June 3, 2016
MSI FINANCIAL SERVICES, INC.
May 18, 2010 - June 3, 2016
MSI FINANCIAL SERVICES, INC.
September 12, 2008 - May 18, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 3/19/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
