Theodore M. Hein
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.
Theodore Michael Hein, who also goes by Ted Hein, Teddy Hein, Theodore Hein, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 2011. Theodore had worked at 5 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
Experience
October 25, 2019 - September 1, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 21, 2019 - August 31, 2023
FIDELITY BROKERAGE SERVICES LLC
July 17, 2018 - April 2, 2019
FISHER INVESTMENTS
June 4, 2014 - February 19, 2018
STRATEGIC ADVISERS LLC
October 24, 2013 - February 15, 2018
FIDELITY BROKERAGE SERVICES LLC
July 14, 2011 - May 14, 2013
WADDELL & REED
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.
