Jack A. Zornes
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.
Jack Aaron Zornes was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 2013. Jack 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
August 23, 2023 - September 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 14, 2023 - September 12, 2023
FIDELITY BROKERAGE SERVICES LLC
August 15, 2017 - December 22, 2022
CHARLES SCHWAB & CO., INC.
August 15, 2017 - January 11, 2023
CHARLES SCHWAB & CO., INC.
June 17, 2015 - May 4, 2017
LPL FINANCIAL LLC
June 17, 2015 - May 4, 2017
LPL FINANCIAL LLC
September 5, 2013 - June 10, 2015
VOYA FINANCIAL ADVISORS, INC.
July 26, 2013 - June 10, 2015
VOYA FINANCIAL ADVISORS, INC.
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.
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