Thomas Curialle
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.
Thomas Curialle, who also goes by Tom Curialle, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 11 firms and has passed the Series 66, Series 63, 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
Experience
September 24, 2021 - August 2, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 8, 2021 - June 11, 2026
FIDELITY BROKERAGE SERVICES LLC
March 27, 2019 - September 11, 2020
J.P. MORGAN SECURITIES LLC
September 7, 2016 - March 31, 2017
LPS CAPITAL LLC
June 18, 2008 - October 13, 2014
RBC CAPITAL MARKETS, LLC
January 28, 2003 - November 30, 2007
BANC OF AMERICA SECURITIES LLC
November 8, 1993 - October 30, 2002
J.P. MORGAN SECURITIES INC.
June 26, 1991 - July 29, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
June 26, 1987 - December 6, 1990
FIRST INTERREGIONAL EQUITY CORP.
October 25, 1984 - September 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1982 - September 7, 1984
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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 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.
