Eric J. D'souza
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.
Eric Joseph D'souza, who also goes by Eric D'souza, Eric Joseph Dsouza, Eric Dsouza, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10 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
December 2, 2020 - August 16, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 7, 2020 - August 16, 2024
FIDELITY BROKERAGE SERVICES LLC
January 11, 2013 - September 17, 2020
CHARLES SCHWAB & CO., INC.
January 11, 2013 - September 17, 2020
CHARLES SCHWAB & CO., INC.
February 26, 2009 - September 22, 2009
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 19, 2008 - December 21, 2012
PRINCIPAL SECURITIES, INC.
October 3, 2007 - December 21, 2012
PRINCIPAL SECURITIES, INC.
November 7, 2006 - September 17, 2007
JANUS HENDERSON DISTRIBUTORS US LLC
April 5, 2006 - October 24, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 15, 2003 - March 2, 2006
INVESCO DISTRIBUTORS, 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
Series 99TO
Date: 1/2/2023
Operations Professional 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.
