Brian D. Tague
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.
Brian David Tague, who also goes by Brian D Tague Jr, Brian D Tague, Brian David Tague Jr, Brian David Tague Jr., was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 55 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
November 11, 2021 - July 11, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 9, 2021 - July 7, 2022
FIDELITY BROKERAGE SERVICES LLC
November 30, 2009 - October 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2009 - October 5, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2007 - February 5, 2009
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 2, 2007 - August 28, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - August 28, 2007
MORGAN STANLEY & CO. LLC
June 16, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 14, 2004 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 2004 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2000 - March 12, 2002
WORLDCO, L.L.C.
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 55
Date: 7/20/2000
Limited Representative-Equity Trader ExamCurrent 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.
