Stanley F. Kiec
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.
Stanley Frank Kiec, who also goes by Stanley Frank Kiec III, Stanley Kiec, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1994. Stanley had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE 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
June 14, 2022 - March 5, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 9, 2022 - March 5, 2025
FIDELITY BROKERAGE SERVICES LLC
October 18, 2005 - September 19, 2006
FAGENSON & CO., INC.
May 10, 2004 - August 2, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
May 21, 2003 - April 30, 2004
GRANTA CAPITAL GROUP LLC
March 30, 2001 - May 29, 2001
PIPER SANDLER & CO.
September 3, 1998 - August 28, 2000
JOSEPHTHAL & CO., INC.
January 22, 1997 - September 2, 1998
DBS VICKERS SECURITIES (USA) INC.
April 20, 1995 - July 2, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1994 - December 13, 1996
IDS LIFE INSURANCE COMPANY
December 21, 1994 - December 13, 1996
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
Series 7TO
Date: 5/9/2022
General Securities Representative ExaminationCurrent 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.
