Timothy Mcgowan
Professional summary
Timothy Mcgowan, who also goes by Timothy Edward Mcgowan, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island and NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1992. Timothy has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Mcgowan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917April 12, 2023 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210June 23, 1997 - March 31, 2000
FUNDS DISTRIBUTOR, LLC
April 26, 1995 - September 6, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 1993 - March 29, 1995
MORGAN STANLEY DW INC.
December 18, 1992 - August 20, 1993
DICKINSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/3/2021)
Exams
Series 7TO
Date: 4/2/2021
General Securities Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
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 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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