Paul H. Vanderweide
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.
Paul Henry Vanderweide, who also goes by Paul Vanderweide, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2006. Paul had worked at 9 firms and has passed the Series 65, Series 63, 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
August 10, 2021 - December 23, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 23, 2021 - December 22, 2021
FIDELITY BROKERAGE SERVICES LLC
May 26, 2020 - June 10, 2021
CHARLES SCHWAB & CO., INC.
May 23, 2020 - June 10, 2021
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
August 29, 2017 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 28, 2017 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
June 15, 2015 - July 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2015 - July 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - June 23, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 23, 2015
J.P. MORGAN SECURITIES LLC
August 3, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 30, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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.
