Dennis King Fired from Fidelity Brokerage Services

Dennis King (CRD #: 2317583), a broker formerly registered with Fidelity Brokerage Services, was recently fired from that firm, according to his BrokerCheck record, accessed on May 8, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Termination from Fidelity Brokerage Services

On April 3, 2023, Dennis King was fired from Fidelity Brokerage Services after allegedly failing to disclose an event to the firm and denying the event on a firm questionnaire. This event was allegedly unrelated to the securities business.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Dennis King has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination
• Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)

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

Kurta Law Can Help

If you worked with Dennis King and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.