Stephen H. Mcnulty
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.
Stephen Hart Mcnulty was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 24, Series 4, Series 10 and Series 9 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of California, Los Angeles
Bachelor of Science (BS) - economics
Experience
July 13, 2018 - January 10, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 24, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
November 30, 2012 - January 10, 2025
FIDELITY BROKERAGE SERVICES LLC
September 21, 2011 - April 10, 2012
SAGETRADER, LLC
April 2, 2009 - September 30, 2009
BELLEVUE CHICAGO, LLC
January 1, 2007 - February 3, 2009
NEWEDGE USA, LLC
July 1, 2005 - January 3, 2007
FIMAT PREFERRED LLC
December 8, 1999 - July 1, 2005
PREFERREDTRADE, INC.
June 25, 1999 - December 6, 1999
CITIGROUP GLOBAL MARKETS INC.
October 14, 1998 - June 30, 1999
PACIFIC GENESIS GROUP, INC.
November 14, 1997 - July 27, 1998
RANGEMARK CAPITAL MARKETS, INC.
October 10, 1995 - December 7, 1995
MAFG RIA SERVICES, INC.
March 25, 1994 - March 9, 1995
PRUDENTIAL EQUITY GROUP, LLC
March 5, 1991 - April 4, 1994
LEHMAN BROTHERS INC.
June 20, 1989 - March 4, 1991
MORGAN STANLEY DW 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/19/2000
Limited Representative-Equity Trader ExamCurrent 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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Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Vice President, Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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