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AW

Angela Wang

M.M. DILLON & CO. LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 7815132
AW

Professional summary

Angela Wang is a registered financial professional currently at M.M. DILLON & CO. LLC located in Greenwich, Connecticut.

Angela is registered as a RR (Registered Representative) and started their career in finance in 2024. Angela has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Angela Wang's CRS (Customer Relationship Summary).

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

Current

February 1, 2024 - Present

M.M. DILLON & CO. LLC

Office #1: One Sound Shore Drive Suite 100, Greenwich, CT 06830
BD
CRD#: 19878
Greenwich, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/20/2024)
RR
Connecticut
(5/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MD
M.M. DILLON & CO. LLC
C.E. PFEIFER & CO., INC. | M.M. DILLON & CO. LLC | C.E. PFEIFER LLC

CRD#: 19878 / SEC#: , 8-37893

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Sound Shore Drive Suite 100, Greenwich, CT 06830
Mailing Address
One Sound Shore Drive Suite 100, Greenwich, CT 06830
Phone number
(203) 569-6800
Established
Delaware since 03/26/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
C. E. PFEIFER HOLDINGS, LLCHOLDING COMPANY
MCCARTY, MICHIEL CLEVECHAIRMAN & CEO1061313
ESPINAL, MICHAELCHIEF COMPLIANCE OFFICER1947563

Disclosures

Regulatory Event2

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.

Company Information

M.M. DILLON & CO. LLC

CRD#: 19878Greenwich, CT 06830

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