Mohamed Shawky
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.
Mohamed Shawky was a registered financial professional .
Mohamed is a previously registered financial professional and started their career in finance in 2019. Mohamed had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2022 - April 24, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 12, 2022 - April 3, 2023
FIDELITY BROKERAGE SERVICES LLC
June 12, 2020 - August 12, 2022
LPL FINANCIAL LLC
June 1, 2020 - August 12, 2022
LPL FINANCIAL LLC
November 20, 2019 - February 7, 2020
EQUITABLE ADVISORS, LLC
October 14, 2019 - November 13, 2019
PRUCO SECURITIES, 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
Series 7TO
Date: 11/30/2019
General Securities Representative ExaminationSeries 6TO
Date: 10/12/2019
Investment Company Products/Variable Contracts 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.
