Vickie A. Wesson
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.
Vickie Ann Wesson, who also goes by VIckie Ann Price, Vickie Ann Saadi, Vickie A Wesson, was a registered financial professional .
Vickie is a previously registered financial professional and started their career in finance in 2004. Vickie had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Phoenix
Bachelor of Business - Financial Planning
2019
University of Phoenix
Bachelor of Science - Business with Financial Planning Certificate
2018
Experience
July 13, 2018 - July 11, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 10, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
July 21, 2015 - July 9, 2024
FIDELITY BROKERAGE SERVICES LLC
January 28, 2015 - June 10, 2015
USCA RIA LLC
January 28, 2015 - June 10, 2015
USCA SECURITIES LLC
May 9, 2011 - January 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2010 - January 29, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2010 - October 20, 2010
CHASE INVESTMENT SERVICES CORP.
July 23, 2007 - February 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2005 - June 26, 2006
CHASE INVESTMENT SERVICES CORP.
November 3, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
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
Wealth Management Planning Consultant ICRD#: 288590TRUST BUT VERIFY
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