Victor Moreno
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.
Victor Moreno was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1990. Victor had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 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 - January 10, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 26, 2007 - July 13, 2018
STRATEGIC ADVISERS LLC
November 18, 2005 - January 10, 2022
FIDELITY BROKERAGE SERVICES LLC
August 12, 2005 - September 19, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 12, 2005 - September 19, 2005
AMERIPRISE ADVISOR SERVICES, INC.
November 2, 1998 - August 23, 2005
MORGAN STANLEY DW INC.
February 4, 1991 - August 23, 2005
MORGAN STANLEY DW INC.
August 3, 1990 - October 23, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
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.
