Andre Brown
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.
Andre Brown, who also goes by Andre M Brown, Andre Mondrell Brown, was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 2014. Andre had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Kansas
Bachelor of Arts (BA) - Advertising
1997
Experience
January 7, 2021 - February 14, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 27, 2020 - February 13, 2024
FIDELITY BROKERAGE SERVICES LLC
June 16, 2016 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 4, 2015 - June 6, 2016
TD AMERITRADE, INC.
May 4, 2015 - June 6, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 11, 2014 - June 6, 2016
TD AMERITRADE, 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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Benefits & Planning Consultant, Executive ServicesCRD#: 288590TRUST BUT VERIFY
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