Chad R. Cornwell
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.
Chad Ryan Cornwell, who also goes by Chad R Cornwell, Chad Cornwell, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 2006. Chad had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - November 27, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 21, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
February 22, 2013 - November 27, 2019
FIDELITY BROKERAGE SERVICES LLC
August 9, 2011 - December 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2011 - December 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2011 - July 19, 2011
CUSO FINANCIAL SERVICES, L.P.
October 31, 2006 - July 19, 2011
CUSO FINANCIAL SERVICES, L.P.
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.
