Bryan Lepage
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.
Bryan Lepage, who also goes by Bryan M Lepage, Bryan Matthew Lepage, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1998. Bryan had worked at 14 firms and has passed the Series 66, Series 65, Series 63, 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
January 23, 2023 - June 15, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 4, 2023 - June 13, 2023
FIDELITY BROKERAGE SERVICES LLC
July 17, 2017 - June 1, 2021
AVANTAX ADVISORY SERVICES
July 17, 2017 - June 1, 2021
AVANTAX INVESTMENT SERVICES, INC.
February 26, 2015 - August 14, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 26, 2015 - August 14, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 13, 2014 - April 25, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 9, 2010 - August 7, 2013
NATIONWIDE SECURITIES, LLC
September 9, 2010 - August 7, 2013
NATIONWIDE SECURITIES, LLC
June 2, 2006 - August 31, 2010
IC ADVISORY SERVICES, INC.
January 2, 2004 - June 2, 2006
THE INVESTMENT CENTER, INC.
December 4, 2002 - August 31, 2010
THE INVESTMENT CENTER, INC.
March 20, 2001 - November 27, 2002
A. G. EDWARDS & SONS, INC.
October 1, 2000 - March 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 9, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 11, 1998 - April 19, 1999
IDS LIFE INSURANCE COMPANY
March 11, 1998 - April 19, 1999
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.
