Phillip J. Haslam
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.
Phillip Jon Haslam was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1983. Phillip had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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 - August 25, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 24, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
August 3, 2015 - August 24, 2021
FIDELITY BROKERAGE SERVICES LLC
August 20, 1999 - September 21, 2001
METLIFE INVESTORS DISTRIBUTION COMPANY
August 27, 1998 - March 31, 1999
METLIFE INVESTORS DISTRIBUTION COMPANY
July 8, 1997 - April 9, 2014
MSI FINANCIAL SERVICES, INC.
May 2, 1990 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - April 9, 2014
MSI FINANCIAL SERVICES, INC.
November 20, 1986 - April 25, 1990
UR FINANCIAL, INC.
July 20, 1983 - December 12, 1986
GUARDIAN INVESTOR 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 52TO
Date: 1/2/2023
Municipal 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
