Victoria A. Lynch
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.
Victoria Ann Lynch, who also goes by VIctoria A Gordon, Victoria A Keefe, Victoria Ann Keefe, Victoria Anne Keefe, Victoria A Lynch, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1985. Victoria had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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 - August 23, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 10, 2010 - July 13, 2018
STRATEGIC ADVISERS LLC
December 5, 2008 - August 23, 2021
FIDELITY BROKERAGE SERVICES LLC
February 8, 2008 - November 10, 2008
BENOIT, CHEPENIK & BENOIT PA
January 3, 2007 - October 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 3, 2005 - March 10, 2006
INVEST FINANCIAL CORPORATION
May 27, 2005 - March 10, 2006
INVEST FINANCIAL CORPORATION
April 6, 2000 - March 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2000 - March 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2000 - March 17, 2000
MML INVESTORS SERVICES, LLC
August 17, 1992 - September 27, 1999
CHARLES SCHWAB & CO., INC.
June 29, 1992 - July 24, 1992
MORGAN STANLEY DW INC.
September 25, 1989 - July 12, 1990
MOORS & CABOT, INC.
September 19, 1988 - September 5, 1989
HAMBRECHT & QUIST LLC
November 20, 1985 - August 31, 1988
JSC 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 8
Date: 3/27/1996
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.
