Christopher J. Bachmann
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.
Christopher Jon Bachmann was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 6 firms and has passed the Series 66, SIE 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
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 6, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
March 2, 2012 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
January 25, 2012 - February 14, 2012
TD AMERITRADE, INC.
January 25, 2012 - February 14, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 9, 2012 - February 14, 2012
TD AMERITRADE, INC.
December 8, 2011 - December 19, 2011
EQUITABLE ADVISORS, LLC
March 30, 2001 - March 12, 2007
STRATEGIC ADVISERS LLC
October 5, 2000 - March 12, 2007
FIDELITY BROKERAGE 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.
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