Jamie M. Henley-zacarias
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.
Jamie Marie Henley-zacarias, who also goes by Jamie M Henley, Jamie Marie Henley, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 2014. Jamie had worked at 5 firms and has passed the Series 66, Series 7TO, 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
January 27, 2020 - May 17, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 16, 2020 - April 28, 2021
FIDELITY BROKERAGE SERVICES LLC
May 8, 2018 - November 23, 2018
J.P. MORGAN SECURITIES LLC
May 7, 2018 - November 23, 2018
J.P. MORGAN SECURITIES LLC
July 28, 2016 - September 21, 2017
STRATEGIC ADVISERS LLC
July 27, 2016 - September 20, 2017
FIDELITY BROKERAGE SERVICES LLC
March 3, 2015 - July 14, 2016
CHARLES SCHWAB & CO., INC.
December 9, 2014 - July 14, 2016
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
Series 7TO
Date: 4/29/2024
General Securities Representative ExaminationCurrent 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.
