Marilyn Huang
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.
Marilyn Huang, who also goes by Marilyn M Huang, Marilyn Meili Huang, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 2007. Marilyn had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2023 - March 26, 2024
FIDELITY BROKERAGE SERVICES LLC
May 17, 2021 - October 13, 2022
FIDELITY BROKERAGE SERVICES LLC
October 15, 2014 - December 21, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 4, 2011 - October 8, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2011 - October 8, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2009 - August 11, 2010
E*TRADE SECURITIES LLC
June 1, 2009 - August 21, 2009
MORGAN STANLEY
June 1, 2009 - August 21, 2009
MORGAN STANLEY
January 7, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 16, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
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
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.
