Allison Ligon
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.
Allison Ligon, who also goes by Allison Paige Anderson, Allison P Ligon, Allison Paige Ligon, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2000. Allison had worked at 4 firms and has passed the Series 66, Series 63, 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
January 7, 2021 - October 7, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 5, 2021 - October 7, 2021
FIDELITY BROKERAGE SERVICES LLC
January 3, 2012 - August 2, 2019
FIDELITY BROKERAGE SERVICES LLC
October 13, 2010 - January 3, 2012
FIDELITY DISTRIBUTORS COMPANY LLC
January 1, 2008 - September 20, 2010
FIDELITY BROKERAGE SERVICES LLC
December 9, 2005 - November 23, 2007
STRATEGIC ADVISERS LLC
December 3, 2003 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
May 7, 2001 - September 18, 2003
FIDELITY BROKERAGE SERVICES LLC
September 25, 2000 - May 9, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
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.
