Eric J. Stone
Professional summary
Eric James Stone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Eric had worked at 3 firms, which includes FIDELITY PERSONAL AND WORKPLACE ADVISORS, STRATEGIC ADVISERS LLC, FIDELITY BROKERAGE SERVICES LLC.
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 - June 29, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 19, 2010 - July 13, 2018
STRATEGIC ADVISERS LLC
February 18, 2008 - June 29, 2021
FIDELITY BROKERAGE SERVICES LLC
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
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