Sylvia S. Lim
Professional summary
Sylvia Siaw Ling Lim, who also goes by Siaw Ling Sylvia Lim, Sylvia Siaw Ling Lim Ms, Sylvia Siaw Ling Lim, Sylvia Reutens Mrs, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jersey City, New Jersey.
Sylvia is registered as a RR (Registered Representative) and started their career in finance in 2006. Sylvia has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sylvia Siaw Ling Lim's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 29, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310February 12, 2015 - November 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2014 - January 16, 2015
CITIGROUP GLOBAL MARKETS INC.
May 9, 2011 - May 12, 2014
CREDIT SUISSE SECURITIES (USA) LLC
January 20, 2006 - May 10, 2011
DEUTSCHE BANK SECURITIES 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
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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