Lynnette Kline
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.
Lynnette Kline, who also goes by Lynnette Sondi Kline, was a registered financial professional .
Lynnette is a previously registered financial professional and started their career in finance in 1997. Lynnette had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2022 - April 19, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 7, 2021 - April 18, 2024
FIDELITY BROKERAGE SERVICES LLC
January 8, 2018 - May 29, 2020
USAA INVESTMENT SERVICES COMPANY
October 8, 2015 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
March 17, 2015 - May 29, 2020
USAA FINANCIAL ADVISORS, INC.
October 1, 2000 - September 30, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 30, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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.
