Sheila D. Dowling
Professional summary
Sheila Dawnell Dowling was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sheila is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Sheila had worked at 4 firms, which includes FIDELITY BROKERAGE SERVICES LLC, FIDELITY DISTRIBUTORS COMPANY LLC, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2006 - January 15, 2008
FIDELITY BROKERAGE SERVICES LLC
August 1, 2005 - May 19, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
May 22, 2003 - August 12, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 22, 2003 - August 12, 2003
OSAIC FA, 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
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
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