Nicholas V. Chouteau
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.
Nicholas Vernon Chouteau, CFP®, who also goes by Nick Vernon Chouteau, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas had worked at 5 firms and has passed the Series 66, Series 63, 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
May 3, 2023 - May 20, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 7, 2022 - May 2, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 14, 2022 - May 20, 2024
FIDELITY BROKERAGE SERVICES LLC
September 18, 2017 - January 11, 2022
ALIGHT FINANCIAL ADVISORS, LLC
September 18, 2017 - January 11, 2022
ALIGHT FINANCIAL SOLUTIONS, LLC
December 22, 2014 - September 26, 2017
STRATEGIC ADVISERS LLC
November 5, 2012 - September 25, 2017
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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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
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