George M. Vazquez
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.
George M. Vazquez, who also goes by George Manuel Vazquez, George Vazquez, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1986. George had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Columbia University Graduate School of Business
Master of Business Administration (MBA) - Finance and International Business
1992
Tufts University
Bachelor of Arts (BA) - Political Science
1985
Experience
March 31, 2025 - August 14, 2025
STRATEGIC ADVISERS LLC
October 2, 2024 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 25, 2024 - August 14, 2025
FIDELITY BROKERAGE SERVICES LLC
June 8, 2022 - July 1, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 20, 2022 - July 3, 2024
FIDELITY BROKERAGE SERVICES LLC
January 5, 2022 - May 23, 2022
FORESIDE FUND SERVICES, LLC
December 24, 2020 - December 31, 2021
FORESIDE FUND SERVICES, LLC
October 28, 2020 - September 24, 2024
WELLESLEY ASSET MANAGEMENT, INC.
July 28, 2015 - November 6, 2019
NATIXIS ADVISORS, LLC
April 28, 2015 - November 6, 2019
NATIXIS DISTRIBUTION, LLC
December 4, 2014 - March 17, 2015
MARINER WEALTH
April 19, 2002 - August 7, 2013
FIDELITY BROKERAGE SERVICES LLC
August 31, 2001 - November 27, 2001
FAM DISTRIBUTORS, INC.
March 15, 2001 - April 26, 2001
FIDELITY BROKERAGE SERVICES LLC
February 7, 1996 - April 26, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
May 11, 1993 - February 7, 1996
FIDELITY BROKERAGE SERVICES LLC
September 22, 1992 - June 9, 1993
CITICORP INVESTMENT SERVICES
May 30, 1990 - October 17, 1990
INVESTACORP, INC.
July 23, 1986 - April 9, 1990
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
