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Detailed Report
TIMOTHY JAMES DEAN
CRD#: 2407351
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 ONE DESTINY WAY
WESTLAKE, TX 76262
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 ONE DESTINY WAY
WESTLAKE, TX 76262
Registration History
1995200020052010201520202025IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1993 - Present (31 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2004 - 2018 (13 years)IAFIDELITY PERSONAL TRUST COMPAN... (CRD# 109516)2005 - 2007 (1 year)
Disclosure(s)
View By:
9/24/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Massachusetts 1/13/2021
IA
Texas 7/13/2018
B
Texas 11/15/1993
B
Utah 1/14/2021

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
ONE DESTINY WAY, WESTLAKE, TX 76262
LEWISVILLE, TX
Registered with this firm since 7/13/2018
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
ONE DESTINY WAY, WESTLAKE, TX 76262
LEWISVILLE, TX
Registered with this firm since 10/8/1993
Previous Registration(s)
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IA
 10/01/2004 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) WESTLAKE, TX
IA
 04/26/2005 - 03/28/2007 FIDELITY PERSONAL TRUST COMPANY, FSB (CRD#:109516) WESTLAKE, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.