Todd J. Iverstine
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.
Todd James Iverstine, who also goes by Todd IVerstine, Todd James Iverstine, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2007. Todd had worked at 6 firms and has passed the Series 63, Series 65, 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
March 11, 2019 - October 22, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 7, 2019 - October 21, 2019
FIDELITY BROKERAGE SERVICES LLC
August 8, 2017 - January 24, 2019
PRUCO SECURITIES, LLC.
July 20, 2017 - January 24, 2019
PRUCO SECURITIES, LLC.
May 2, 2016 - August 11, 2017
MILLENNIAL HELP
December 9, 2015 - December 31, 2015
OSAIC SERVICES, INC.
November 23, 2015 - December 31, 2015
OSAIC SERVICES, INC.
July 6, 2007 - December 15, 2015
JAMES ASSET MANAGEMENT, 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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