Simone Saracino
Professional summary
Simone Saracino is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Simone is registered as a RR (Registered Representative) and started their career in finance in 1982. Simone has worked at 2 firms and has passed the Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simone Saracino's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2007 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310January 21, 1982 - September 24, 2007
PRUDENTIAL EQUITY GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 11/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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