Thomas Neathamer
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.
Thomas Neathamer, who also goes by Tommy Harold Neathamer Mr, Thomas H Neathamer, Thomas Harold Neathamer, Tommy H Neathamer, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 9 firms and has passed the Series 66, 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 Southern Indiana
Bachelor of Business Administration - Marketing
1998
Experience
October 13, 2021 - December 21, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 20, 2021 - December 20, 2023
FIDELITY BROKERAGE SERVICES LLC
November 11, 2020 - August 31, 2021
ALLSTATE FINANCIAL SERVICES, LLC
May 28, 2019 - October 19, 2020
BROOKSTONE FINANCIAL
May 16, 2019 - November 11, 2020
CENTER STREET SECURITIES, INC.
April 17, 2017 - May 31, 2017
EDWARD JONES
March 28, 2017 - May 31, 2017
EDWARD JONES
June 27, 2013 - January 20, 2015
INVESTMENT PROFESSIONALS, INC.
June 25, 2013 - January 20, 2015
INVESTMENT PROFESSIONALS, INC.
June 22, 2011 - August 2, 2011
INVESTMENT PROFESSIONALS, INC.
June 20, 2011 - August 2, 2011
INVESTMENT PROFESSIONALS, INC.
January 11, 2008 - August 28, 2009
FIFTH THIRD SECURITIES, INC.
January 11, 2008 - August 28, 2009
FIFTH THIRD SECURITIES, INC.
July 27, 2007 - December 7, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
July 19, 2007 - December 7, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
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
Investment ConsultantCRD#: 288590TRUST BUT VERIFY
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