Stephen J. Ketchum
Professional summary
Stephen J. Ketchum, who also goes by Stephen J Ketchum, Steve J Ketchum, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen J. Ketchum's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015October 22, 2012 - November 18, 2021
FIDELITY BROKERAGE SERVICES LLC
January 6, 2012 - September 12, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - September 12, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 12, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
May 24, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
July 31, 2006 - May 4, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
October 30, 1991 - December 31, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
March 6, 1990 - October 25, 1991
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
FINRA
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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