Earl Christson C. Ongcol
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.
Earl Christson Christson Ongcol, who also goes by Earl Christson Demonteverde Ongcol, Earl Christson Christson Ongcol, Chris Ongcol, Earl Christson Ongcol, Earl Christson Ongcol, Earlchristson Demontev Ongcol, was a registered financial professional .
Earl Christson is a previously registered financial professional and started their career in finance in 2017. Earl Christson had worked at 5 firms and has passed the Series 66, Series 63, 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
November 16, 2022 - August 14, 2025
FIDELITY BROKERAGE SERVICES LLC
July 9, 2021 - August 8, 2022
ROBINHOOD FINANCIAL, LLC
January 22, 2021 - June 11, 2021
ALLY INVEST SECURITIES LLC
September 5, 2019 - January 17, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2019 - January 17, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2017 - February 16, 2018
SPARTAN CAPITAL SECURITIES, 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.
