Jacob R. Gasaway
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.
Jacob Ryan Gasaway, who also goes by Jacob Ryan Gasaway, Jacob Gasaway, Jake Gasaway, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2016. Jacob had worked at 3 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
May 7, 2021 - January 27, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 28, 2021 - January 26, 2022
FIDELITY BROKERAGE SERVICES LLC
November 21, 2019 - April 29, 2021
CHARLES SCHWAB & CO., INC.
November 13, 2019 - April 29, 2021
CHARLES SCHWAB & CO., INC.
January 12, 2017 - October 9, 2019
CHARLES SCHWAB & CO., INC.
October 26, 2016 - October 9, 2019
CHARLES SCHWAB & CO., 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
