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Daniel Anderson Fired from Fidelity Brokerage Services

Daniel Anderson (CRD #: 7085801), a former broker, was fired from Fidelity Brokerage Services, according to his BrokerCheck record, accessed on April 21, 2022. Keep reading if you have questions about Daniel Anderson’s conduct as a broker.

Discharge from Fidelity Brokerage Services

Daniel Anderson was fired from Fidelity Brokerage Services on January 19, 2022, following allegations he inaccurately documented customer interactions and recorded responses into an investor profiling tool without asking clients all the corresponding questions.

FINRA Rule 4511

Brokers who fail to maintain accurate records violate FINRA Rule 4511, which requires firms to maintain accurate books and records in compliance with relevant rules under the Exchange Act.

Background Information

Daniel Anderson has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

He formerly worked for Fidelity Brokerage Services (CRD#:7784).

Kurta Law Can Help

If you worked with Daniel Anderson and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.