Chad Fleck

Vice President, Advisory and Wealth Management Compliance Fidelity Investments

Mr. Chad Fleck is a Vice President in Advisory & Wealth Management Compliance supporting Fidelity’s sales practices for both Fidelity Brokerage Services LLC (FBS) and Fidelity Personal and Workplace Advisors LLC (FPWA), its registered investment adviser serving retail clients and participants in employer sponsored workplace savings plans.  He manages a team of compliance professionals who work on programs that are governed by a wide range of U.S. regulatory obligations, including SEC, FINRA, MSRB, DOL, as well as state requirements. He has more than 20 years of problem resolution and compliance experience.  Chad is active in SIFMA’s Retirement & Savings Committee, Private Client Legal Committee, and Regulation Best Interest Working Group.