Antoinette L. Bergwall
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.
Antoinette L Bergwall, who also goes by Antoinette L Foti, was a registered financial professional .
Antoinette is a previously registered financial professional and started their career in finance in 2004. Antoinette had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2021 - April 30, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 19, 2021 - April 30, 2024
FIDELITY BROKERAGE SERVICES LLC
August 10, 2015 - January 11, 2021
TD AMERITRADE, INC.
July 2, 2015 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 15, 2015 - January 11, 2021
TD AMERITRADE, INC.
October 10, 2011 - December 17, 2014
FINANCIAL LIFE FOCUS, LLC
February 25, 2010 - April 1, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 2004 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 29, 2004 - October 20, 2004
QUICK & REILLY, INC.
State Registrations and Notice Filings
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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.
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