Carol I. Pelletier
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.
Carol Iser Pelletier, who also goes by Carol Frances Iser, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1987. Carol had worked at 6 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 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
April 14, 2023 - September 4, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 15, 2022 - September 4, 2024
FIDELITY BROKERAGE SERVICES LLC
May 11, 2016 - August 30, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 13, 2005 - November 21, 2016
FIRST CLEARING, LLC
May 6, 2004 - December 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 8, 2000 - December 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1997 - May 5, 2000
DB ALEX. BROWN LLC
August 20, 1987 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/2/1999
Limited Representative-Equity Trader ExamCurrent 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.
