Thomas A. Post
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 A Post, CFP®, who also goes by Thomas Allen Post, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 8 firms and has passed the Series 66, 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
Start date: 2012
Experience
July 13, 2018 - December 27, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 7, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
February 1, 2013 - December 24, 2018
FIDELITY BROKERAGE SERVICES LLC
January 24, 2011 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2011 - January 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2010 - January 24, 2011
AMERITAS INVESTMENT COMPANY, LLC
October 28, 2009 - April 30, 2010
ASSEMBLY WEALTH
October 26, 2009 - May 4, 2010
PROSPERA FINANCIAL SERVICES, INC.
October 29, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
October 12, 2007 - May 13, 2009
UBS FINANCIAL SERVICES 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.
