Doug E. Zarookian
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.
Doug Edwin Zarookian, who also goes by Douglas Edwin Zarookian, was a registered financial professional .
Doug is a previously registered financial professional and started their career in finance in 1983. Doug had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - April 16, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 24, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
February 9, 2015 - April 14, 2020
FIDELITY BROKERAGE SERVICES LLC
June 26, 2007 - February 18, 2015
CHARLES SCHWAB & CO., INC.
June 15, 2007 - February 18, 2015
CHARLES SCHWAB & CO., INC.
December 6, 2006 - February 26, 2007
FISHER INVESTMENTS
February 16, 1990 - July 26, 2006
FIDELITY BROKERAGE SERVICES LLC
April 6, 1989 - February 9, 1990
BA INVESTMENT SERVICES, INC.
March 14, 1987 - April 15, 1989
UBS FINANCIAL SERVICES INC.
June 27, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 27, 1983 - March 12, 1987
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 8
Date: 12/19/1989
General Securities Sales Supervisor Examination (Options Module & General Module)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.
