Aaron M. Pincomb
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.
Aaron Michael Pincomb, who also goes by Aaron Pincomb, Aaron Michael Pincomb, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2016. Aaron had worked at 4 firms and has passed the Series 66, Series 63, 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 9, 2021 - May 14, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 3, 2021 - May 14, 2024
FIDELITY BROKERAGE SERVICES LLC
August 28, 2019 - May 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2019 - May 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2016 - October 11, 2017
EQUITABLE ADVISORS, 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.
