Trong V. Presley
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.
Trong V Presley, who also goes by Trong Van Preley, Trong Van Presley, Trong Presley, was a registered financial professional .
Trong is a previously registered financial professional and started their career in finance in 1998. Trong had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
June 17, 2019 - July 8, 2025
FIDELITY BROKERAGE SERVICES LLC
May 18, 2018 - February 13, 2019
USAA FINANCIAL ADVISORS, INC.
January 3, 2012 - January 22, 2018
FIDELITY BROKERAGE SERVICES LLC
September 4, 2008 - January 3, 2012
FIDELITY DISTRIBUTORS COMPANY LLC
September 27, 2007 - August 20, 2008
STRATEGIC ADVISERS LLC
September 27, 2007 - August 20, 2008
FIDELITY BROKERAGE SERVICES LLC
June 5, 2007 - September 5, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
November 11, 2004 - May 22, 2007
STRATEGIC ADVISERS LLC
November 8, 2004 - May 22, 2007
FIDELITY BROKERAGE SERVICES LLC
July 8, 2003 - October 5, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2003 - October 5, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 1998 - June 23, 2003
EDWARD JONES
August 21, 1998 - August 25, 1998
IDS LIFE INSURANCE COMPANY
August 21, 1998 - August 25, 1998
AMERIPRISE FINANCIAL 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
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
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.
