Deborah M. Tustin
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.
Deborah Marie Tustin, who also goes by Deborah Marie Stank, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1983. Deborah had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Pennsylvania - Wharton
Bachelor of Business Administration - Finance, Marketing, Management
1986
Experience
December 5, 2019 - December 18, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 30, 2019 - December 18, 2023
FIDELITY BROKERAGE SERVICES LLC
December 23, 2015 - November 17, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 1, 2015 - November 17, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 23, 2012 - December 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2012 - December 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2009 - February 15, 2012
CAROLINA CAPITAL MARKETS, INC.
March 16, 2009 - March 17, 2009
CAROLINA CAPITAL MARKETS, INC.
May 25, 2007 - February 6, 2009
THE GWYNEDD COMPANY
March 18, 2005 - September 30, 2005
CAROLINA CAPITAL MARKETS, INC.
December 20, 2002 - July 25, 2003
FERRIS, BAKER WATTS, LLC
December 20, 2002 - July 25, 2003
FERRIS, BAKER WATTS, LLC
November 8, 2001 - September 24, 2002
IDS LIFE INSURANCE COMPANY
November 8, 2001 - September 24, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 1987 - March 19, 1988
E. F. HUTTON & COMPANY INC
June 22, 1983 - May 15, 1987
CHASE 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
Series 7TO
Date: 9/30/2019
General Securities Representative ExaminationCurrent 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.
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Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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