Gregory Kleva
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.
Gregory Kleva, who also goes by Gregory John Kleva, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1990. Gregory had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Merrimack College
Bachelor of Science (BS) - Finance
1990
Experience
December 22, 2021 - September 23, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 28, 2020 - September 23, 2024
FIDELITY BROKERAGE SERVICES LLC
January 23, 2006 - January 31, 2006
RUSHMORE CAPITAL, INC.
May 21, 1991 - January 14, 2004
TD AMERITRADE, INC.
August 28, 1990 - May 1, 1991
HIBBARD BROWN & 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
Series 7TO
Date: 9/28/2020
General Securities Representative ExaminationSeries 8
Date: 8/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial Consultant ICRD#: 288590TRUST BUT VERIFY
Monitor Gregory Kleva
Get automatic monthly alerts on:
