Dawn M. Humphrey
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.
Dawn Maureen Humphrey, CFA, CFP®, who also goes by Dawn Maureen Guido, Dawn M Schrock, Dawn Maureen Schrock, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2001. Dawn had worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE 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
Education
College for Financial Planning
Master of Science (MS) - Finance
2004
Temple University
Bachelor of Business Administration - Finance
1989
Experience
April 2, 2021 - March 6, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 26, 2021 - March 6, 2024
FIDELITY BROKERAGE SERVICES LLC
March 27, 2012 - March 31, 2016
TRUIST INVESTMENT SERVICES, INC.
March 13, 2012 - March 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 22, 2001 - July 27, 2005
EQUITABLE ADVISORS, 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
Series 7TO
Date: 3/26/2021
General Securities Representative ExaminationCurrent 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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