Susan R. Gervasoni
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.
Susan Rose Gervasoni, who also goes by Susan Gervasoni, Susan Rose Gervasoni, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2000. Susan had worked at 13 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2023 - June 20, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 10, 2023 - June 20, 2024
FIDELITY BROKERAGE SERVICES LLC
February 6, 2014 - July 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2014 - July 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2013 - January 27, 2014
COUNTRY CAPITAL MANAGEMENT COMPANY
August 22, 2013 - December 13, 2013
MWA FINANCIAL SERVICES INC.
November 7, 2011 - August 7, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 19, 2011 - August 7, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 13, 2009 - April 29, 2011
QUEST CAPITAL STRATEGIES, INC.
May 13, 2009 - April 29, 2011
QUEST CAPITAL STRATEGIES, INC.
August 6, 2002 - February 24, 2005
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
August 10, 2001 - May 1, 2009
VALIC FINANCIAL ADVISORS, INC.
May 10, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
May 10, 2001 - May 1, 2009
VALIC FINANCIAL ADVISORS, INC.
January 16, 2001 - April 24, 2001
PRIME CAPITAL SERVICES, INC.
August 24, 2000 - January 8, 2001
IDS LIFE INSURANCE COMPANY
August 24, 2000 - January 8, 2001
AMERIPRISE FINANCIAL SERVICES, 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.
