Lily Cardlin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lily Cardlin, who also goes by Lily Wong Cardlin, Lily Wong Drollinger, Lily Wong, was a registered financial professional .
Lily is a previously registered financial professional and started their career in finance in 1986. Lily had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - October 1, 2021
FIDELITY BROKERAGE SERVICES LLC
August 23, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
August 15, 2005 - June 15, 2007
FIDELITY BROKERAGE SERVICES LLC
May 1, 1992 - July 8, 2005
CHARLES W. CAMMACK ASSOCIATES, INC.
May 2, 1989 - September 15, 1992
MONY SECURITIES CORPORATION
September 25, 1987 - May 9, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 20, 1987 - July 7, 1987
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
September 24, 1986 - January 14, 1987
BERNARD HEROLD & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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