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GF

George E. Flood

FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 1995879
GF

Professional summary

George E Flood, who also goes by George Edward Flood, George Flood, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas and NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.

George is registered as a RR (Registered Representative) and started their career in finance in 1989. George has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Edward Flood | George Flood

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 George E Flood'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

June 19, 1996 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: Two Destiny Way, Westlake, TX 76262
BD
CRD#: 7784
Westlake, TX
Current

February 11, 2026 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: Two Destiny Way, Westlake, TX 76262
BD
CRD#: 13041
Westlake, TX
Past

September 20, 1995 - June 19, 1996

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

October 9, 1993 - October 4, 1995

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

October 23, 1989 - October 14, 1993

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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
Alabama
(2/11/2026)
RR
Alaska
(2/11/2026)
RR
Arizona
(2/11/2026)
RR
Arkansas
(2/11/2026)
RR
California
(2/11/2026)
RR
Colorado
(2/11/2026)
RR
Connecticut
(2/11/2026)
RR
Delaware
(2/11/2026)
RR
District of Columbia
(2/11/2026)
RR
Florida
(2/11/2026)
RR
Georgia
(2/11/2026)
RR
Hawaii
(2/11/2026)
RR
Idaho
(2/11/2026)
RR
Illinois
(2/11/2026)
RR
Indiana
(2/11/2026)
RR
Iowa
(2/11/2026)
RR
Kansas
(2/11/2026)
RR
Kentucky
(2/11/2026)
RR
Louisiana
(2/11/2026)
RR
Maine
(2/11/2026)
RR
Maryland
(2/11/2026)
RR
Massachusetts
(2/11/2026)
RR
Michigan
(2/11/2026)
RR
Minnesota
(2/11/2026)
RR
Mississippi
(2/11/2026)
RR
Missouri
(2/11/2026)
RR
Montana
(2/11/2026)
RR
Nebraska
(2/11/2026)
RR
New Hampshire
(2/11/2026)
RR
New Jersey
(2/11/2026)
RR
New Mexico
(2/11/2026)
RR
New York
(2/11/2026)
RR
North Carolina
(2/11/2026)
RR
North Dakota
(2/11/2026)
RR
Ohio
(2/12/2026)
RR
Oklahoma
(2/11/2026)
RR
Oregon
(2/11/2026)
RR
Pennsylvania
(2/11/2026)
RR
Puerto Rico
(2/11/2026)
RR
Rhode Island
(2/11/2026)
RR
South Carolina
(2/11/2026)
RR
South Dakota
(2/11/2026)
RR
Tennessee
(2/11/2026)
RR
Texas
(6/19/1996)
RR
Utah
(2/11/2026)
RR
Vermont
(2/11/2026)
RR
Virgin Islands
(2/11/2026)
RR
Virginia
(2/11/2026)
RR
Washington
(2/11/2026)
RR
West Virginia
(2/11/2026)
RR
Wisconsin
(2/11/2026)
RR
Wyoming
(2/11/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/19/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/1996
General Securities Principal Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

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

Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100

FINRA licenses (53 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CREEDON, ADAM JINTERIM CHIEF COMPLIANCE OFFICER5417517
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNPRESIDENT1862532
TESAURO, THOMAS JOHNELECTED MANAGER1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

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

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Westlake, TX 76262

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