John M. Heagerty
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.
John Mark Heagerty, CFP®, who also goes by Mark Heagerty, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 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 - September 4, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 9, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
November 15, 2013 - September 4, 2024
FIDELITY BROKERAGE SERVICES LLC
October 18, 2006 - February 14, 2012
TD AMERITRADE, INC.
October 18, 2006 - February 14, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 18, 2006 - February 14, 2012
TD AMERITRADE, INC.
January 6, 2006 - July 5, 2006
ATLAS SECURITIES, LLC
August 2, 2005 - September 23, 2005
BLUE MOON FINANCIAL, LLC
July 8, 2005 - July 25, 2005
EDWARD JONES
January 1, 1999 - November 29, 2004
CHARLES SCHWAB & CO., INC.
April 16, 1991 - November 29, 2004
CHARLES SCHWAB & CO., INC.
December 13, 1990 - February 27, 1991
GLOBAL CAPITAL SECURITIES CORPORATION
December 12, 1986 - February 2, 1987
NORTH AMERICAN CAPITAL CORPORATION
December 8, 1986 - December 14, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
December 18, 1984 - May 16, 1985
BLINDER, ROBINSON & CO., 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: 5/23/1996
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.
