Cathleen A. Reinhardt
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.
Cathleen Ann Reinhardt, CFP®, CIMA®, who also goes by Cathleen Reinhardt, Cathy Reinhardt, was a registered financial professional .
Cathleen is a previously registered financial professional and started their career in finance in 2000. Cathleen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Education
Georgia State University
Master of Science (MS) - Sports Management
1994
University of Nebraska
Bachelor of Science (BS) - Business Administration and Marketing
1991
Experience
December 17, 2020 - November 20, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 2, 2020 - November 20, 2024
FIDELITY BROKERAGE SERVICES LLC
September 19, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 19, 2014 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 8, 2012 - June 11, 2014
CUNA BROKERAGE SERVICES, INC.
November 1, 2012 - June 11, 2014
CUNA BROKERAGE SERVICES, INC.
June 1, 2009 - October 29, 2012
MORGAN STANLEY
June 1, 2009 - October 29, 2012
MORGAN STANLEY
April 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 14, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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