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Lily Mui-fong

National Financial Services LLC

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About Lily Mui-fong

Lily Mui-fong is a financial professional with over 30 years of experience in the industry. Lily is currently registered with National Financial Services LLC, a firm that provides financial services, and has been with the firm since September 2005. Previously, Lily worked at Charles Schwab & Co., Inc. and Oppenheimer & Co., Inc.. Lily holds a wide range of licenses and certifications, including Series 7, 8, 9, 10, 63, 66, 99TO and SIE exams.

Firm Information

Lily Mui-fong is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Lily Mui-fong’s Registration & Firm History

NJ

09/08/2005 - Present

National Financial Services LLC (JERSEY CITY NJ)

TX

12/05/1989 - 12/14/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

05/23/1989 - 11/16/1989

OPPENHEIMER & CO., INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/08/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/15/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/01/1992

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lily Mui-fong.
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