Robert B. Tagle
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.
Robert Bulus Tagle, who also goes by Bob Tagle, Robert Tagle, Roberto Bulus Tagle, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, 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
December 12, 2022 - March 27, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 5, 2022 - March 26, 2024
FIDELITY BROKERAGE SERVICES LLC
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
April 14, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 10, 2017 - February 26, 2018
SCOTTRADE, INC.
July 26, 2016 - April 4, 2017
MORGAN STANLEY
June 15, 2016 - April 4, 2017
MORGAN STANLEY
August 14, 2014 - April 5, 2016
PRUCO SECURITIES, LLC.
October 13, 2000 - December 31, 2001
IAC SECURITIES, INC.
March 13, 2000 - June 16, 2000
WMA SECURITIES, 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
Series 7TO
Date: 11/21/2022
General Securities Representative ExaminationCurrent 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.
