Karl M. Cloherty
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.
Karl M Cloherty, who also goes by Karl Michael Cloherty Jr, Karl Michael Cloherty, Karl Cloherty Jr, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2014. Karl had worked at 8 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
July 24, 2021 - August 8, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 22, 2021 - August 8, 2024
FIDELITY BROKERAGE SERVICES LLC
August 19, 2019 - May 7, 2021
ARBOR POINT ADVISORS
February 14, 2019 - May 7, 2021
SECURITIES AMERICA ADVISORS, INC.
February 14, 2019 - May 7, 2021
SECURITIES AMERICA, INC.
April 19, 2016 - February 7, 2019
KESTRA ADVISORY SERVICES, LLC
April 23, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
April 23, 2015 - February 7, 2019
KESTRA INVESTMENT SERVICES, LLC
June 20, 2014 - April 30, 2015
HORNOR, TOWNSEND & KENT, LLC
March 21, 2014 - April 30, 2015
HORNOR, TOWNSEND & KENT, LLC
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.
