Cortney S. Moffitt
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.
Cortney Scott Moffitt, who also goes by Cortney Moffitt, was a registered financial professional .
Cortney is a previously registered financial professional and started their career in finance in 2010. Cortney had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 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 Utah
Bachelor of Science (BS) - Finance
2007
Experience
August 3, 2018 - March 15, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 23, 2017 - March 15, 2024
FIDELITY BROKERAGE SERVICES LLC
July 11, 2014 - February 13, 2017
STRATEGIC ADVISERS LLC
September 19, 2010 - February 8, 2017
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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Benefits & Planning Consultant, Executive ServicesCRD#: 288590TRUST BUT VERIFY
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