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Detailed Report
TERRENCE PAUL WASSEL
Terrence Paul Wassel
CRD#: 3031118
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 15521 MIDLOTHIAN TPKE
MIDLOTHIAN, VA 23113
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 15521 MIDLOTHIAN TPKE
MIDLOTHIAN, VA 23113
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2012 (<1 year)2 FIRMS1999 - 1999 (<1 year)2 FIRMS2021 - Present (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1999 - 2021 (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 1998 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2018 - 2021 (2 years)IASCHWAB PRIVATE CLIENT INVESTME... (CRD# 159035)2015 - 2018 (3 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2012 - 2017 (4 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2003 - 2011 (8 years)
Disclosure(s)
View By:
3/9/2017
Regulatory
Final
10/15/2003
Customer Dispute
Settled
License(s)

State Registrations

B
California 2/7/2022
B
Ohio 10/12/2021
B
Colorado 9/27/2023
B
Pennsylvania 4/12/2021
B
District of Columbia 1/14/2022
B
South Carolina 3/5/2024
B
Florida 4/13/2021
B
Tennessee 5/9/2022
B
Hawaii 4/3/2023
B
Texas 9/27/2023
B
Kentucky 10/10/2023
IA
Texas 11/27/2023
B
Maryland 3/8/2022
B
Utah 7/11/2022
B
New Hampshire 10/2/2023
B
Virginia 2/11/2021
B
North Carolina 8/16/2021
IA
Virginia 2/24/2021

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)
15521 MIDLOTHIAN TPKE, MIDLOTHIAN, VA 23113
Registered with this firm since 2/24/2021
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
15521 MIDLOTHIAN TPKE, MIDLOTHIAN, VA 23113
MIDLOTHIAN, VA
Registered with this firm since 2/9/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/20/2018 - 02/04/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Richmond, VA
B
 05/28/1999 - 02/04/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Richmond, VA
IA
 05/14/2015 - 09/17/2018 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) ORLANDO, FL
IA
 08/01/2012 - 03/15/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) Richmond, VA
IA
 01/03/2012 - 08/03/2012 SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. (CRD#:159035) ORLANDO, FL
IA
 01/26/2012 - 03/22/2012 CHARLES SCHWAB & CO., INC. (CRD#:5393) Richmond, VA
IA
 02/10/2003 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) Richmond, VA
B
 04/12/1999 - 06/23/1999 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 04/12/1999 - 06/23/1999 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 06/15/1998 - 08/07/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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.