Jennifer M. Cottle
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.
Jennifer M Cottle, who also goes by Jennifer M. Black, Jennifer Marie Black, Jennifer Cottle, Jennifer Marie Cottle, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1994. Jennifer had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2024 - November 26, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 9, 2024 - November 25, 2024
FIDELITY BROKERAGE SERVICES LLC
October 2, 2017 - December 31, 2023
ARBOR POINT ADVISORS
October 2, 2017 - December 31, 2023
SECURITIES AMERICA, INC.
September 1, 2016 - October 5, 2017
SUMMIT BROKERAGE SERVICES, INC.
September 23, 2008 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
May 30, 2007 - September 23, 2008
BROKER DEALER FINANCIAL SERVICES CORP.
May 18, 1999 - May 31, 2007
SECURITIES SERVICE NETWORK, LLC
June 6, 1994 - May 13, 1999
OPPENHEIMER & 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
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.
