James M. Vanzwol
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.
James Matthew Vanzwol, who also goes by Jim Vanzwol, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 10 firms and has passed the Series 66, Series 63, Series 65, 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 19, 2021 - September 10, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 4, 2021 - September 8, 2021
FIDELITY BROKERAGE SERVICES LLC
June 23, 2014 - June 8, 2021
ADP BROKER-DEALER, INC.
October 24, 2013 - June 20, 2014
FINANCIAL TELESIS INC
January 25, 2013 - June 20, 2014
FINANCIAL TELESIS INC
October 11, 2012 - February 25, 2013
INDEPENDENT FINANCIAL PARTNERS
August 24, 2012 - January 30, 2013
LPL FINANCIAL LLC
February 10, 2012 - March 26, 2012
LPL FINANCIAL LLC
June 20, 2011 - February 15, 2012
KESTRA INVESTMENT SERVICES, LLC
June 29, 2009 - May 17, 2011
CUNA BROKERAGE SERVICES, INC.
June 25, 2009 - May 17, 2011
CUNA BROKERAGE SERVICES, INC.
August 14, 2007 - June 9, 2009
STANCORP INVESTMENT ADVISERS, INC.
December 10, 2003 - June 9, 2009
STANCORP EQUITIES, INC.
March 7, 2001 - August 13, 2007
STANCORP INVESTMENT ADVISERS, 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.
