David C. Gholson
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.
David C Gholson, who also goes by David C Gholson, David Christopher Gholson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2013. David had worked at 7 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
September 8, 2021 - November 22, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 24, 2021 - November 4, 2021
FIDELITY BROKERAGE SERVICES LLC
June 2, 2020 - October 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
June 1, 2020 - October 16, 2020
SECURIAN FINANCIAL SERVICES, INC.
March 8, 2016 - May 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2016 - May 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2014 - February 23, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 14, 2014 - February 23, 2016
TD AMERITRADE, INC.
July 10, 2014 - February 23, 2016
TD AMERITRADE, INC.
December 3, 2013 - June 12, 2014
STRATEGIC ADVISERS LLC
April 16, 2013 - June 10, 2014
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
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.
