Wesley J. Desousa
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.
Wesley James Desousa, who also goes by Wes Desousa, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1998. Wesley had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 53, Series 24 and Series 4 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 - March 12, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 4, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
September 10, 2013 - March 12, 2024
FIDELITY BROKERAGE SERVICES LLC
May 6, 2008 - January 29, 2010
OSAIC FS, INC.
May 6, 2008 - January 29, 2010
OSAIC FA, INC.
January 1, 2008 - April 17, 2008
FIDELITY BROKERAGE SERVICES LLC
August 1, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
July 21, 1998 - August 8, 2005
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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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.
