RA
Ronald S. Allard
FIDELITY DISTRIBUTORS COMPANY LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 2166406
RA
Professional summary
Ronald Scott Allard, who also goes by Ronald Allard, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1991. Ronald has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ronald Allard
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.
CRS (Client Relationship Summary) - BD
Click below to view Ronald Scott Allard'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®
NoneExperience
Current
September 11, 2015 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Current
February 19, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Current
February 22, 2021 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917BD
CRD#: 13041
Smithfield, RI
Past
December 24, 2014 - May 8, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
April 10, 2006 - March 4, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
BOSTON, MA
Past
August 8, 1991 - September 27, 1991
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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(9/2/2016)
RR
Alaska(9/2/2016)
RR
Arizona(9/2/2016)
RR
Arkansas(9/2/2016)
RR
California(9/2/2016)
RR
Colorado(9/2/2016)
RR
Connecticut(9/2/2016)
RR
Delaware(9/2/2016)
RR
District of Columbia(9/2/2016)
RR
Florida(9/2/2016)
RR
Georgia(9/2/2016)
RR
Hawaii(9/2/2016)
RR
Idaho(9/2/2016)
RR
Illinois(9/2/2016)
RR
Indiana(9/2/2016)
RR
Iowa(9/2/2016)
RR
Kansas(9/2/2016)
RR
Kentucky(9/2/2016)
RR
Louisiana(9/2/2016)
RR
Maine(9/2/2016)
RR
Maryland(9/2/2016)
RR
Massachusetts(9/11/2015)
RR
Michigan(9/2/2016)
RR
Minnesota(9/2/2016)
RR
Mississippi(9/2/2016)
RR
Missouri(9/2/2016)
RR
Montana(9/2/2016)
RR
Nebraska(9/2/2016)
RR
Nevada(9/2/2016)
RR
New Hampshire(9/11/2015)
RR
New Jersey(9/2/2016)
RR
New Mexico(9/2/2016)
RR
New York(9/2/2016)
RR
North Carolina(9/6/2016)
RR
North Dakota(9/2/2016)
RR
Ohio(9/6/2016)
RR
Oklahoma(9/2/2016)
RR
Oregon(9/2/2016)
RR
Pennsylvania(9/2/2016)
RR
Puerto Rico(9/2/2016)
RR
Rhode Island(9/11/2015)
RR
South Carolina(9/2/2016)
RR
South Dakota(9/2/2016)
RR
Tennessee(9/2/2016)
RR
Texas(9/11/2015)
RR
Utah(9/2/2016)
RR
Vermont(9/2/2016)
RR
Virginia(9/2/2016)
RR
Washington(9/2/2016)
RR
West Virginia(9/2/2016)
RR
Wisconsin(9/2/2016)
RR
Wyoming(9/2/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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
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#: 13041Smithfield, RI 02917TRUST BUT VERIFY
Monitor Ronald Allard
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
