Jessica B. Gorham
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.
Jessica B Gorham, who also goes by Jessica Brooke Gorham, Jessica Gorham, Jessica B Gorham, Jessica Brooke Lindahl, was a registered financial professional .
Jessica is a previously registered financial professional and started their career in finance in 2008. Jessica had worked at 8 firms and has passed the Series 66, Series 63, 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
October 15, 2020 - October 31, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 9, 2020 - October 28, 2022
FIDELITY BROKERAGE SERVICES LLC
February 15, 2019 - September 10, 2019
TD AMERITRADE, INC.
February 15, 2019 - September 10, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 7, 2019 - September 10, 2019
TD AMERITRADE, INC.
January 11, 2018 - February 7, 2019
SOFI WEALTH LLC
January 11, 2018 - February 7, 2019
SOFI SECURITIES LLC
September 15, 2015 - April 6, 2017
STRATEGIC ADVISERS LLC
January 28, 2010 - April 5, 2017
FIDELITY BROKERAGE SERVICES LLC
June 24, 2009 - November 30, 2009
ZIONS DIRECT, INC.
June 30, 2008 - February 13, 2009
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
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.
