Peter C. Jarck
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.
Peter Carl Jarck, who also goes by Peter C Jarck, Peter Jarck, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2019 - May 23, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 7, 2019 - May 21, 2021
FIDELITY BROKERAGE SERVICES LLC
January 6, 2015 - May 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2014 - May 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2014 - December 11, 2014
VANDHAM SECURITIES CORP.
April 19, 2013 - July 22, 2014
AXIOM CAPITAL MANAGEMENT, INC.
September 22, 2008 - September 4, 2012
BARCLAYS CAPITAL INC.
February 26, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
March 11, 1999 - February 14, 2001
JPMSI
November 12, 1991 - March 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1989 - December 14, 1989
SELIGMAN SECURITIES, 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 7TO
Date: 3/16/2024
General Securities Representative ExaminationSeries 55
Date: 10/22/1998
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
