Chad Fleck Email & Phone Number

An amazing person once told me “Compliance professionals are like the brakes on a car. We help you go faster.” He’s right. Without brakes, you can’t navigate turns above a crawl or avoid something that suddenly bounces into the road. The same goes for businesses. Not all roads are smooth, speed limits and traffic lights change, and organizations need to respond. That’s what I love about being in Compliance. We help keep the business moving forward. I’m the compliance leader for Fidelity’s retail and workplace planning, advice and guidance practices across both Fidelity Personal and Workplace Advisors (FPWA) and Fidelity Brokerage Service (FBS), our retail investment adviser and broker-dealer. My team coordinates compliance, legal, and risk management efforts enabling our branch, phone and online distribution channels to provide financial planning and investment advice to millions of investors. We help investors, employees, and management maintain their trust in Fidelity.

Listed skills include Series 14, Series 8, Investment Advisory, Sales, and 21 others.

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  Vice President, Advisory And Wealth Management Compliance

  Fidelity Investments

  Dec 2016 - Present - Merrimack, New Hampshire, United States