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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2017-10-19 |
Branch Locations
6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States
Dallas, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Bank | Los Angeles | CA | 04/2012 | 06/2017 |
| Northern Trust Securities Inc | Los Angeles | CA | 05/2012 | 06/2017 |
| Fisher Investments | Plano | TX | 10/2017 | Present |
| Unemployed | Chicago | IL | 06/2017 | 10/2017 |
--Name of the other business: UNIVERSITY OF ARIZONA ALUMNI ASSOCIATION --Investment-related? NO --Address of the other business: 1111 N CHERRY AVENUE, TUSCON, AZ 85721 --Nature of the other business: SCHOOL ASSOCIATION --Position, title, or relationship with the other business: TREASURER --Start date of your relationship: 06/06/2016 --Approximate number of hours/month you devote to the other business: 6-10 --Number of hours you devote to the other business during securities trading hours: 0 --Duties relating to the other business: RESPONSIBLE FOR PAYING BILLS, AUTHORIZING SCHOLARSHIP DONATIONS, ETC. FOR THE ASSOCIATION
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2010-02-09 |
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