Caron S. Strop
Professional summary
Caron Sherryl Strop, who also goes by Caron Sherryl Stempek, Caron Stempek, Caron Sherryl Strop, Caron Strop, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Sacramento, California.
Caron is registered as a RR (Registered Representative) and started their career in finance in 2003. Caron has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Caron Sherryl Strop's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 2277 Fair Oaks Blvd Stes 150,155, Sacramento, CA 95825October 9, 2008 - January 19, 2017
E*TRADE SECURITIES LLC
August 10, 2007 - October 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2007 - October 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2003 - August 21, 2007
UBS FINANCIAL SERVICES INC.
March 12, 2003 - August 21, 2007
UBS FINANCIAL SERVICES 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
(1/6/2023)
(8/3/2018)
(8/3/2018)
(1/6/2024)
(1/6/2023)
(1/6/2023)
(1/7/2022)
(1/7/2022)
(8/3/2018)
(8/3/2018)
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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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Sacramento, CA 95825TRUST BUT VERIFY
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