Stephen F. Yeager
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.
Stephen Frederick Yeager, who also goes by Stephen Frederick Yeager, Stephen Yeager, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2017. Stephen had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Temple University
Bachelor of Business Administration - Finance
2016
Experience
May 2, 2022 - July 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 20, 2022 - July 12, 2023
FIDELITY BROKERAGE SERVICES LLC
May 2, 2017 - April 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2017 - April 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
