Randall D. Fisher
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.
Randall David Fisher, who also goes by Randall Fisher, Randy Fisher, Randall David Fisher, Randy Fisher, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2016. Randall had worked at 6 firms and has passed the Series 66, 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
August 6, 2021 - June 10, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 28, 2021 - June 11, 2024
FIDELITY BROKERAGE SERVICES LLC
June 23, 2020 - April 6, 2021
CITIZENS SECURITIES, INC.
June 23, 2020 - April 6, 2021
CITIZENS SECURITIES, INC.
July 24, 2019 - June 2, 2020
CETERA INVESTMENT ADVISERS LLC
July 24, 2019 - June 2, 2020
CETERA INVESTMENT SERVICES LLC
June 4, 2018 - April 4, 2019
MORGAN STANLEY
June 4, 2018 - April 4, 2019
MORGAN STANLEY
August 16, 2016 - December 15, 2016
MORGAN STANLEY
July 13, 2016 - December 15, 2016
MORGAN STANLEY
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.
