David C. Braddock
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.
David Christopher Braddock was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 8 firms and has passed the Series 66, Series 65, 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 - February 21, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 29, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
August 26, 2016 - February 20, 2019
FIDELITY BROKERAGE SERVICES LLC
July 20, 2015 - August 23, 2016
CETERA INVESTMENT ADVISERS LLC
May 15, 2015 - August 23, 2016
CETERA INVESTMENT SERVICES LLC
February 26, 2002 - May 12, 2015
SCOTTRADE, INC.
May 23, 1999 - February 26, 2002
CHARLES SCHWAB & CO., INC.
December 17, 1997 - May 3, 1999
INVEST FINANCIAL CORPORATION
November 29, 1989 - April 25, 1996
CHARLES SCHWAB & CO., 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.
