Andrew L. Clark
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.
Andrew Lane Clark, who also goes by Andrew L Clark, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2007. Andrew had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2023 - August 22, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 1, 2023 - August 22, 2024
FIDELITY BROKERAGE SERVICES LLC
July 13, 2018 - August 20, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 5, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
November 12, 2012 - July 31, 2018
FIDELITY BROKERAGE SERVICES LLC
September 29, 2011 - September 27, 2012
FISHER INVESTMENTS
February 9, 2009 - August 15, 2011
STRATEGIC ADVISERS LLC
April 30, 2007 - August 12, 2011
FIDELITY BROKERAGE SERVICES 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: 12/27/2022
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.
