Maria Fan

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CRD#: 4926890

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.

Maria Fan, who also goes by Meilingmaria Fan, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 2009. Maria had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Meilingmaria Fan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 11, 2015 - January 11, 2016

WILMINGTON CAPITAL SECURITIES, LLC

RIA

CRD#: 133839

New York, NY

Past

July 30, 2015 - January 11, 2016

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839

New York, NY

Past

August 12, 2014 - August 6, 2015

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

NEW YORK, NY

Past

March 5, 2014 - August 6, 2015

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

April 23, 2013 - August 26, 2013

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

ELMHURST, NY

Past

April 23, 2013 - August 26, 2013

HSBC SECURITIES (USA) INC.

CRD#: 19585

ELMHURST, NY

Past

January 11, 2012 - December 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

October 11, 2011 - December 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 26, 2011 - September 12, 2011

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

NASSAU,

Past

July 14, 2009 - August 7, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NEW YORK, NY

Past

June 5, 2009 - June 15, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2009

General Securities Representative Examination

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

666 Old Country Road Suite 505, Garden City, NY 11530

Mailing Address

666 Old Country Road Suite 505, Garden City, NY 11530

Phone number

(516) 750-6200

Established

New York since 11/18/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WILMINGTON CAPITAL GROUP, INC.	PARENT COMPANY
COLUMBO, JOSEPH DONALD	CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER	823524
DORUSHKIN, RONALD BRETT	CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER	2245185
LEE, DENNIS PETER	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL	6008539
MIKES, JOHN	PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR	2458544
VITTOR, GREG TODD	FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	1864219

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 258,250,437

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Maria Fan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILMINGTON CAPITAL SECURITIES, LLC

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CALDWELL INTERNATIONAL SECURITIES

MSI FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

WILMINGTON CAPITAL SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2012

Series 63

Date: 7/22/2009

SIE

Date: 1/11/2016

Series 7

Date: 6/3/2009

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILMINGTON CAPITAL SECURITIES, LLC

TRUST BUT VERIFY

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