Greg F. Auman
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.
Greg Farrell Auman, who also goes by Greg Auman, was a registered financial professional .
Greg is a previously registered financial professional and started their career in finance in 1999. Greg had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2020 - March 23, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 6, 2020 - March 12, 2021
FIDELITY BROKERAGE SERVICES LLC
July 16, 2008 - November 27, 2019
MUTUAL OF AMERICA SECURITIES LLC
July 16, 2008 - November 27, 2019
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 18, 2008 - July 9, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 3, 2008 - July 9, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - March 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 1, 2002 - May 3, 2006
EDWARD JONES
September 29, 2000 - January 29, 2002
PRINCIPAL SECURITIES, INC.
February 17, 1999 - April 13, 1999
MAYFLOWER CAPITAL, L.L.C.
February 17, 1999 - September 27, 2000
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.
