Gustavo C. Vertiz
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.
Gustavo Cruz Vertiz, who also goes by Custavo Cruz Vertiz Jr, Gus C. Vertiz, Gus Vertiz, Gustavo Cruz Vertiz Jr, was a registered financial professional .
Gustavo is a previously registered financial professional and started their career in finance in 1994. Gustavo had worked at 12 firms and has passed the Series 65, Series 63, SIE, 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
July 13, 2018 - June 12, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 17, 2009 - July 13, 2018
STRATEGIC ADVISERS LLC
October 3, 2008 - June 10, 2023
FIDELITY BROKERAGE SERVICES LLC
May 29, 2007 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
November 14, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 10, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 28, 2004 - November 28, 2005
CHARTER ONE SECURITIES, INC.
November 26, 2002 - July 2, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 2, 2002 - December 9, 2002
INVEST FINANCIAL CORPORATION
March 27, 2002 - December 9, 2002
INVEST FINANCIAL CORPORATION
April 1, 1998 - March 19, 2002
LASALLE FINANCIAL SERVICES, INC.
August 5, 1997 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
July 15, 1997 - July 30, 1997
INVESTMENT NETWORK, INC.
February 9, 1994 - July 1, 1997
IDS LIFE INSURANCE COMPANY
February 9, 1994 - July 1, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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.
