Anne C. Zastko
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.
Anne Chaney Zastko, who also goes by Anne C Sarles, Anne Chaney Sarles, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1993. Anne had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
The American College
Chartered Financial Consultant Designation - Finance
2013
University of Wisconsin
Bachelor of Science (BS) - Education
1986
Experience
February 5, 2021 - February 2, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 25, 2021 - January 31, 2024
FIDELITY BROKERAGE SERVICES LLC
August 21, 2017 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 9, 2017 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 23, 2010 - July 27, 2017
MML INVESTORS SERVICES, LLC
May 17, 2010 - July 27, 2017
MML INVESTORS SERVICES, LLC
September 11, 2009 - May 26, 2010
PARK AVENUE SECURITIES LLC
February 7, 2008 - August 7, 2009
MML INVESTORS SERVICES, LLC
September 5, 2007 - August 7, 2009
MML INVESTORS SERVICES, LLC
July 1, 2003 - April 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 8, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1997 - January 26, 2001
UBS FINANCIAL SERVICES INC.
July 8, 1996 - November 19, 1997
WELLS FARGO INVESTMENTS, LLC
November 12, 1993 - April 8, 1996
UBS FINANCIAL SERVICES INC.
June 8, 1993 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
Monitor Anne Zastko
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