Robert A. Corley
Professional summary
Robert Alan Corley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Robert had worked at 5 firms, which includes FIDELITY PERSONAL AND WORKPLACE ADVISORS, STRATEGIC ADVISERS LLC, FIDELITY BROKERAGE SERVICES LLC, INSTITUTIONAL EQUITY CORPORATION, MONROE PARKER SECURITIES INC..
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 - December 18, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 5, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
July 8, 2008 - December 18, 2018
FIDELITY BROKERAGE SERVICES LLC
October 10, 1997 - October 28, 1997
INSTITUTIONAL EQUITY CORPORATION
September 23, 1996 - August 4, 1997
MONROE PARKER 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
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.
