Corey B. Tobin
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.
Corey Brian Tobin, who also goes by Corey Tobin, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 1998. Corey had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2022 - December 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 20, 2021 - December 12, 2023
FIDELITY BROKERAGE SERVICES LLC
December 8, 2016 - October 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2016 - October 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 2016 - November 15, 2016
REEF RESOURCES, LLC
June 8, 2009 - April 14, 2014
HARRISDIRECT LLC
February 26, 2008 - April 14, 2014
E*TRADE SECURITIES LLC
July 28, 2005 - June 30, 2006
CHARLES SCHWAB & CO., INC.
July 27, 2005 - June 30, 2006
CHARLES SCHWAB & CO., INC.
May 23, 2002 - July 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 23, 2002 - July 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 16, 1999 - April 10, 2001
TD AMERITRADE, INC.
August 25, 1998 - April 5, 1999
MORGAN STANLEY DW 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.
