Sean C. Thomas
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.
Sean Christopher Thomas was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 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 - April 22, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 26, 2005 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
January 24, 2001 - July 13, 2018
STRATEGIC ADVISERS LLC
September 21, 1992 - April 12, 2019
FIDELITY BROKERAGE SERVICES LLC
March 27, 1992 - September 1, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 1992 - March 10, 1992
CHELSEA STREET 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 8
Date: 4/17/1995
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.
