John N. Hobart
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.
John Nelson Hobart, who also goes by John Nelson Hobart, Hobart John Nelson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2022 - May 1, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 26, 2022 - May 1, 2024
FIDELITY BROKERAGE SERVICES LLC
July 2, 2018 - July 5, 2019
OPPENHEIMER & CO. INC.
July 2, 2018 - July 5, 2019
OPPENHEIMER & CO. INC.
June 22, 2017 - April 9, 2018
FROST INVESTMENT SERVICES
January 25, 2013 - April 9, 2018
FROST BROKERAGE SERVICES, INC.
March 24, 2011 - May 15, 2012
J.P. MORGAN SECURITIES LLC
March 24, 2011 - November 23, 2012
J.P. MORGAN SECURITIES LLC
January 30, 2006 - March 28, 2011
ALLIANCEBERNSTEIN L.P.
January 20, 2006 - March 28, 2011
SANFORD C. BERNSTEIN & CO., LLC
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
Series 7TO
Date: 8/25/2022
General Securities Representative ExaminationCurrent 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.
