William D. Fay
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.
William David Fay, who also goes by David Fay, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2004. William had worked at 9 firms and has passed the Series 65, Series 63, 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
University of Arizona
Master of Business Administration (MBA) - Finance
2003
Southern Methodist University
Master of Liberal Arts - Liberal Arts
2000
Texas Tech University
Bachelor of Arts (BA) - Public Relations
1993
Experience
April 5, 2022 - March 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 14, 2022 - March 13, 2023
FIDELITY BROKERAGE SERVICES LLC
July 6, 2020 - January 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2020 - January 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2019 - June 24, 2020
FBL WEALTH MANAGEMENT, LLC
December 12, 2019 - June 24, 2020
FBL MARKETING SERVICES, LLC
December 4, 2017 - December 10, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 1, 2017 - December 10, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 2013 - December 4, 2017
MORGAN STANLEY
June 1, 2009 - December 4, 2017
MORGAN STANLEY
April 15, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
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