Thomas B. Atkins
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.
Thomas Blakeslee Atkins III, CFP®, who also goes by Thomas B Atkins, Thomas Blakeslee Atkins Jr, Thomas Blakeslee Atkins, Tom B Atkins, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 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 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 28, 2010 - July 13, 2018
STRATEGIC ADVISERS LLC
April 16, 2010 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
May 13, 2008 - November 11, 2009
CHARLES SCHWAB & CO., INC.
May 13, 2008 - November 11, 2009
CHARLES SCHWAB & CO., INC.
September 14, 2000 - April 23, 2008
STRATEGIC ADVISERS LLC
January 2, 1990 - March 26, 2008
FIDELITY BROKERAGE SERVICES LLC
May 20, 1988 - December 20, 1988
J. T. MORAN & CO., INC.
April 20, 1988 - May 20, 1988
SHERWOOD CAPITAL, 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.
