Bart R. Fuller
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.
Bart Ronald Fuller, who also goes by Bart R Fuller, Bart Fuller, was a registered financial professional .
Bart is a previously registered financial professional and started their career in finance in 2002. Bart had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2018 - February 2, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 1, 2018 - February 2, 2022
FIDELITY BROKERAGE SERVICES LLC
July 13, 2018 - September 13, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 7, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
May 19, 2017 - August 17, 2018
FIDELITY BROKERAGE SERVICES LLC
April 30, 2015 - April 20, 2017
EAGLE STRATEGIES LLC
April 14, 2015 - April 20, 2017
NYLIFE SECURITIES LLC
September 19, 2012 - April 1, 2013
SANTANDER SECURITIES LLC
September 19, 2012 - April 1, 2013
SANTANDER SECURITIES LLC
August 30, 2012 - September 19, 2012
LPL FINANCIAL LLC
August 30, 2012 - September 19, 2012
LPL FINANCIAL LLC
April 16, 2008 - July 20, 2012
UBS FINANCIAL SERVICES INC.
April 14, 2008 - July 20, 2012
UBS FINANCIAL SERVICES INC.
April 3, 2006 - October 1, 2007
EQUITABLE ADVISORS, LLC
May 15, 2003 - June 10, 2004
MORGAN STANLEY DW INC.
October 21, 2002 - May 13, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 21, 2002 - May 13, 2003
MSI FINANCIAL SERVICES, 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.
