Stephen L. Trudeau
Professional summary
Stephen L Trudeau, who also goes by Stephen Lawrence Trudeau, Stephen Trudeau, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey and FIDELITY BROKERAGE SERVICES LLC located in Jersey City, New Jersey.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 9 firms and has passed the Series 63, Series 57TO, Series 62, SIE, Series 55, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen L Trudeau's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2005 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310January 18, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310June 25, 2003 - August 12, 2005
CORRESPONDENT SERVICES CORPORATION
May 28, 1998 - July 1, 2003
UBS FINANCIAL SERVICES INC.
June 2, 1997 - May 6, 1998
HARRISDIRECT LLC
September 21, 1995 - June 2, 1997
PERSHING LLC
October 5, 1994 - May 1, 1995
MORGAN STANLEY DW INC.
January 20, 1993 - October 21, 1994
UBS FINANCIAL SERVICES INC.
May 13, 1991 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 1989 - December 21, 1990
BNY MELLON SECURITIES CORPORATION
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 8/1/2003
Limited Representative-Equity Trader ExamCboe 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
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
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