Phyllis M. Clougherty
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.
Phyllis Marguerite Clougherty, who also goes by Phyllis Pucci Clougherty, Phyllis Clougherty, Phyllis Marguerite Pucci, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1983. Phyllis had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2016 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
October 9, 2013 - January 27, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
November 29, 2010 - September 26, 2013
FIDELITY BROKERAGE SERVICES LLC
August 23, 2007 - September 26, 2013
NATIONAL FINANCIAL SERVICES LLC
June 25, 2001 - May 18, 2007
VOYA RETIREMENT ADVISORS, LLC
February 19, 1997 - January 24, 2000
FIDELITY DISTRIBUTORS CORPORATION
June 13, 1989 - February 19, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
September 9, 1987 - June 8, 1989
FIDELITY BROKERAGE SERVICES LLC
October 15, 1985 - August 29, 1987
FIDELITY DISTRIBUTORS CORPORATION
April 19, 1983 - October 25, 1985
NATIONAL FINANCIAL SERVICES LLC
March 1, 1983 - March 19, 1984
FIDELITY BROKERAGE SERVICES 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 7TO
Date: 1/16/2024
General Securities Representative ExaminationCurrent 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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