Joshua M. Crome
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.
Joshua Michael Crome, who also goes by Joshua M. Crome, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2000. Joshua had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 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 - March 12, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 17, 2011 - July 13, 2018
STRATEGIC ADVISERS LLC
January 7, 2004 - July 8, 2009
STRATEGIC ADVISERS LLC
May 7, 2003 - March 10, 2020
FIDELITY BROKERAGE SERVICES LLC
March 3, 2003 - April 10, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
November 18, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
November 15, 2001 - April 30, 2002
NATHAN & LEWIS SECURITIES, INC.
December 8, 2000 - October 29, 2001
VANGUARD MARKETING CORPORATION
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.
