NN
Nicole S. Ng
FIDELITY BROKERAGE SERVICES
Durham, NC 27709
Some features on this profile are disabled
CRD#: 3222314
NN
Professional summary
Nicole Sauyee Ng, who also goes by Nicole Sau Yee Ng, Sau Yee Ng, Sau Yee Ng, Sauyee Ng, Nicole Sauyee Ng, Nicole Ng, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 1999. Nicole has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole Sau Yee Ng | Sau Yee Ng | Sau Yee Ng | Sauyee Ng | Nicole Sauyee Ng | Nicole Ng
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicole Sauyee Ng's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 17, 2026 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709BD
CRD#: 7784
Durham, NC
Past
March 27, 2024 - January 22, 2026
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Pasadena, CA
Past
September 14, 2023 - February 22, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
YORBA LINDA, CA
Past
December 16, 2019 - April 4, 2023
NYLIFE SECURITIES LLC
BD
CRD#: 5167
San Dimas, CA
Past
July 2, 2018 - October 24, 2019
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
City of Industry, CA
Past
April 19, 2017 - October 24, 2019
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
City of Industry, CA
Past
March 23, 2016 - October 7, 2016
MAIA SECURITIES, INC.
BD
CRD#: 111394
YORBA LINDA, CA
Past
December 16, 2013 - March 31, 2014
GLOBALINK SECURITIES, INC.
BD
CRD#: 29721
PASADENA, CA
Past
January 13, 2010 - October 24, 2011
GLOBAL-AMERICAN INVESTMENTS, INC.
BD
CRD#: 41802
WALNUT, CA
Past
December 8, 1999 - November 29, 2007
FORTUNE SECURITIES, INC.
BD
CRD#: 40821
ALHAMBRA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/27/2026)
RR
Alaska(4/2/2026)
RR
Arizona(4/10/2026)
RR
Arkansas(4/2/2026)
RR
California(2/17/2026)
RR
Colorado(3/27/2026)
RR
Connecticut(3/30/2026)
RR
Delaware(3/27/2026)
RR
District of Columbia(3/30/2026)
RR
Florida(3/30/2026)
RR
Georgia(3/30/2026)
RR
Hawaii(3/30/2026)
RR
Idaho(4/2/2026)
RR
Illinois(3/30/2026)
RR
Indiana(3/27/2026)
RR
Iowa(3/27/2026)
RR
Kansas(3/27/2026)
RR
Kentucky(3/30/2026)
RR
Louisiana(3/27/2026)
RR
Maine(3/27/2026)
RR
Maryland(4/8/2026)
RR
Massachusetts(3/30/2026)
RR
Michigan(3/31/2026)
RR
Minnesota(3/27/2026)
RR
Mississippi(4/1/2026)
RR
Missouri(3/27/2026)
RR
Montana(3/27/2026)
RR
Nebraska(3/27/2026)
RR
Nevada(3/27/2026)
RR
New Hampshire(3/31/2026)
RR
New Jersey(4/8/2026)
RR
New Mexico(3/27/2026)
RR
New York(3/27/2026)
RR
North Carolina(3/27/2026)
RR
North Dakota(4/6/2026)
RR
Ohio(3/27/2026)
RR
Oklahoma(3/30/2026)
RR
Oregon(4/1/2026)
RR
Pennsylvania(3/30/2026)
RR
Puerto Rico(4/20/2026)
RR
Rhode Island(4/1/2026)
RR
South Carolina(4/1/2026)
RR
South Dakota(3/27/2026)
RR
Tennessee(3/30/2026)
RR
Texas(3/30/2026)
RR
Utah(3/30/2026)
RR
Vermont(3/27/2026)
RR
Virgin Islands(4/1/2026)
RR
Virginia(4/3/2026)
RR
Washington(3/31/2026)
RR
West Virginia(4/15/2026)
RR
Wisconsin(3/27/2026)
RR
Wyoming(3/30/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
| 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 | 126 |
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.
Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Durham, NC 27709TRUST BUT VERIFY
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