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Dylan Brosious Resigns from Fidelity Brokerage Services

Dylan Brosious (CRD #: 6394587), a broker formerly registered with Fidelity Brokerage Services, resigned from that firm following alleged misconduct, according to his BrokerCheck record, accessed on June 7, 2023. If you have questions about his alleged conduct as a broker, read on.

Resignation from Fidelity Brokerage Services

On April 20, 2023, Dylan Brosious resigned from Fidelity Brokerage Services after allegedly incorrectly recording in a firm system that he had a certain type of client interaction that would make him eligible for receiving compensation related to those clients’ accounts.

Further, he allegedly did not meet the requirements for having the type of interaction he claimed.

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

Dylan Brosious 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 9 – General Securities Sales Supervisor – Options Module Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination

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

Kurta Law Can Help

If you worked with Dylan Brosious 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.

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