Sam B. Bazido
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.
Sam Bazam Bazido, who also goes by Sam Bazido, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 2017. Sam had worked at 5 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
March 15, 2021 - July 22, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 18, 2020 - July 22, 2021
FIDELITY BROKERAGE SERVICES LLC
August 29, 2019 - December 23, 2020
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
October 25, 2018 - December 23, 2020
AMERICAN CENTURY INVESTMENT SERVICES INC.
December 18, 2017 - October 15, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2017 - October 15, 2018
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.
