Jay M. Isaacson
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.
Jay Mitchel Isaacson, who also goes by Jay Mitchel Isaacson, Jay Isaacson, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 2009. Jay had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Wisconsin
Bachelor of Arts (BA) - Economics
2007
Experience
October 26, 2022 - March 21, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 19, 2022 - March 21, 2024
FIDELITY BROKERAGE SERVICES LLC
December 20, 2017 - October 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2017 - October 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2015 - May 10, 2017
LPL FINANCIAL LLC
March 6, 2014 - May 10, 2017
LPL FINANCIAL LLC
September 24, 2010 - February 12, 2014
GUARDIAN INVESTOR SERVICES LLC
April 24, 2009 - September 23, 2010
NEW ENGLAND SECURITIES
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
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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