Jacqueline H. Ly
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.
Jacqueline Huequyen Ly, who also goes by Hue Quyen Jacqueline Ly, Jacqueline H Ly, Jacqueline Ly, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1995. Jacqueline had worked at 5 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - March 28, 2012
PYRAMIS DISTRIBUTORS CORPORATION LLC
February 26, 2009 - June 4, 2009
FIDELITY BROKERAGE SERVICES LLC
November 12, 2002 - November 2, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
May 8, 1999 - November 12, 2002
STRATEGIC ADVISERS LLC
November 24, 1998 - November 13, 2002
FIDELITY BROKERAGE SERVICES LLC
September 4, 1997 - November 24, 1998
NATIONAL FINANCIAL SERVICES LLC
August 24, 1995 - September 4, 1997
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PYRAMIS DISTRIBUTORS CORPORATION LLC
CRD#: 146430 / SEC#: , 8-67821
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
