Frank X. Casillas
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.
Frank Xavier Casillas, who also goes by Francisco Xavier Casillas II, Francisco Xavier Casillas, Frank Xa Casillas, Frank Casillas, Francisco Xavier Casillas Ii, Frank Xavier Casillas, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2002. Frank had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
California State Polytechnic University, Pomona
Bachelor of Science (BS) - International Business and Marketing Management
2000
Experience
November 9, 2022 - October 25, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 31, 2022 - October 25, 2024
FIDELITY BROKERAGE SERVICES LLC
April 3, 2018 - July 29, 2022
BANCWEST INVESTMENT SERVICES, INC.
April 3, 2018 - July 29, 2022
BANCWEST INVESTMENT SERVICES, INC.
September 8, 2015 - October 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2015 - October 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2012 - August 19, 2015
CHARLES SCHWAB & CO., INC.
July 18, 2012 - August 19, 2015
CHARLES SCHWAB & CO., INC.
September 25, 2009 - June 28, 2012
CHASE INVESTMENT SERVICES CORP.
September 25, 2009 - June 28, 2012
CHASE INVESTMENT SERVICES CORP.
October 6, 2008 - March 6, 2009
PRUCO SECURITIES, LLC.
August 21, 2007 - March 6, 2009
PRUCO SECURITIES, LLC.
May 29, 2007 - August 16, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - August 16, 2007
CITIGROUP GLOBAL MARKETS INC.
September 15, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
September 15, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 16, 2002 - July 2, 2003
MORGAN STANLEY DW INC.
April 30, 2002 - July 2, 2003
MORGAN STANLEY DW 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
Monitor Frank Casillas
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