Thierry Zurek
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.
Thierry Zurek, CFP®, ChFC®, who also goes by Ted E Zurek, Thierry Edouard Zurek, was a registered financial professional .
Thierry is a previously registered financial professional and started their career in finance in 2008. Thierry had worked at 8 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2022 - June 13, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 30, 2022 - June 13, 2024
FIDELITY BROKERAGE SERVICES LLC
June 3, 2022 - September 12, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2022 - September 12, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2021 - February 18, 2022
M HOLDINGS SECURITIES, INC.
May 4, 2015 - January 20, 2021
MORGAN STANLEY
May 1, 2015 - January 20, 2021
MORGAN STANLEY
May 30, 2013 - May 11, 2015
HSBC SECURITIES (USA) INC.
May 30, 2013 - May 11, 2015
HSBC SECURITIES (USA) INC.
May 24, 2012 - May 17, 2013
HORNOR, TOWNSEND & KENT, LLC
September 19, 2008 - May 22, 2012
OSAIC FA, INC.
June 19, 2008 - May 22, 2012
OSAIC FA, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
