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JD

Jolie C. Duval

ALIGHT FINANCIAL SOLUTIONS
CHARLOTTE, NC 28269
Some features on this profile are disabled
CRD#: 2021144
JD

Professional summary

Jolie Clare Duval, who also goes by Jolie Clare Bath, is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Jolie is registered as a RR (Registered Representative) and started their career in finance in 1990. Jolie has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jolie Clare Bath

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jolie Clare Duval's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 3, 2022 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269
BD
CRD#: 36509
CHARLOTTE, NC
Past

November 1, 2013 - October 4, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
LIBERTYVILLE, IL
Past

February 6, 2013 - November 11, 2013

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
LIBERTYVILLE, IL
Past

December 15, 1999 - June 21, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 17, 1990 - January 21, 1999

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(10/3/2022)
RR
Wisconsin
(5/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/16/1990
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALIGHT SOLUTIONS, LLCOWNER
CHOTKOWSKI, MATTHEW ADAMCHIEF COMPLIANCE OFFICER5233117
FRITZ, JEREMY JASONDIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO3261871
KEITH, DOUGLAS SCOTTCHIEF FINANCIAL OFFICER5190086

Disclosures

Regulatory Event2
Arbitration2

Red Flags

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Company Information

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509Charlotte, NC 28269

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