Candace M. Flood
Professional summary
Candace Michelle Flood, who also goes by Candace Michelle Cearley, Candace Flood, Candace Michelle Reeves, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Candace is registered as a RR (Registered Representative) and started their career in finance in 1995. Candace has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Candace Michelle Flood's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2019 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262March 7, 2018 - January 8, 2019
NATIONAL FINANCIAL SERVICES LLC
December 6, 2011 - January 25, 2018
FIDELITY BROKERAGE SERVICES LLC
April 19, 2007 - October 26, 2011
NATIONAL FINANCIAL SERVICES LLC
October 10, 2002 - November 3, 2009
STRATEGIC ADVISERS LLC
December 13, 1999 - April 19, 2007
FIDELITY BROKERAGE SERVICES LLC
August 9, 1995 - June 18, 1999
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2019)
Exams
FINRA
New York Stock Exchange
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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