Maureen P. Garrity
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.
Maureen Patricia Garrity was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1996. Maureen had worked at 9 firms and has passed the Series 63, Series 66, 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
July 13, 2018 - August 21, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 19, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
April 24, 2014 - August 19, 2019
FIDELITY BROKERAGE SERVICES LLC
April 13, 2010 - July 8, 2010
MSI FINANCIAL SERVICES, INC.
March 8, 2010 - July 8, 2010
MSI FINANCIAL SERVICES, INC.
April 4, 2006 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
October 18, 2004 - January 5, 2006
SCHRODER FUND ADVISORS LLC
April 12, 2001 - March 20, 2003
DEUTSCHE BANK SECURITIES INC.
April 1, 1999 - September 7, 1999
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 7, 1996 - August 28, 1998
FIDELITY DISTRIBUTORS COMPANY 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.
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