Steven R. Anderson
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.
Steven Ralph Anderson, who also goes by Steven Anderson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 5 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 - May 3, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 8, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
August 14, 2014 - April 30, 2021
FIDELITY BROKERAGE SERVICES LLC
October 27, 2006 - January 28, 2014
CHARLES SCHWAB & CO., INC.
October 5, 1999 - January 28, 2014
CHARLES SCHWAB & CO., INC.
February 10, 1997 - September 27, 1999
CUNA BROKERAGE SERVICES, INC.
October 25, 1995 - October 29, 1996
HARRIS NESBITT CORP.
April 24, 1991 - August 16, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
April 10, 1990 - August 16, 1995
SANWA SECURITIES (USA) CO., L.P.
December 20, 1988 - March 20, 1990
CM&M FUTURES INC.
July 25, 1987 - March 20, 1990
HSBC SECURITIES (USA) 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 5
Date: 8/28/1986
Interest Rate Options ExaminationCurrent 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.
