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Fisher Investments CRD 107342
$387B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-08 |
| CA | RA | APPROVED | 2023-11-16 |
| TX | RA | APPROVED | 2021-04-29 |
Branch Locations
3109 W Dr. Martin Luther King Blvd Suite 600, Tampa, FL 33607 • United States
6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | Needham | MA | 08/2017 | 01/2019 |
| Northwestern Mutual | Providence | RI | 05/2016 | 05/2017 |
| Sacred Heart University | Fairfield | CT | 08/2013 | 05/2017 |
| Unemployed | Mansfield | MA | 06/2017 | 07/2017 |
| The Prudential Insurance Company Of America | Needham | MA | 11/2017 | 01/2019 |
| Jpmorgan Chase Bank, N.A. | Boston | MA | 02/2019 | 01/2021 |
| J.P. Morgan Securities Llc | Boston | MA | 02/2019 | 01/2021 |
| Fisher Investments | San Mateo | CA | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-01 |
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