Paul C. Laskey
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.
Paul Cowles Laskey, CFP® was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 - March 22, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 1, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
February 23, 2016 - March 13, 2023
FIDELITY BROKERAGE SERVICES LLC
January 3, 2013 - February 17, 2016
U.S. BANCORP INVESTMENTS, INC.
January 3, 2013 - February 17, 2016
U.S. BANCORP INVESTMENTS, INC.
October 1, 2012 - January 7, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 7, 2013
J.P. MORGAN SECURITIES LLC
April 20, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 18, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 26, 2010 - April 4, 2011
PNC WEALTH MANAGEMENT LLC
August 26, 2010 - April 4, 2011
PNC WEALTH MANAGEMENT LLC
January 2, 2009 - August 3, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 10, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 20, 2005 - August 3, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 26, 2003 - November 3, 2005
KEYBANC CAPITAL MARKETS INC.
October 24, 2002 - November 3, 2005
KEYBANC CAPITAL MARKETS INC.
March 6, 1986 - November 16, 1989
FORESTERS FINANCIAL SERVICES, 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.
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