Thomas M. Legierski
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.
Thomas Maxwell Legierski, who also goes by Thomas Legierski, Thomas Maxwell Legierski, Tom Legierski, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2017. Thomas 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
September 16, 2020 - March 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 21, 2020 - March 8, 2021
FIDELITY BROKERAGE SERVICES LLC
January 9, 2020 - June 9, 2020
CETERA INVESTMENT SERVICES LLC
July 11, 2018 - January 6, 2020
CETERA INVESTMENT SERVICES LLC
September 14, 2017 - June 27, 2018
MML INVESTORS SERVICES, 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.
