Natalia R. Flores
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Natalia Rose Flores, who also goes by Nat Flores, Talie Flores, was a registered financial professional .
Natalia is a previously registered financial professional and started their career in finance in 1994. Natalia had worked at 4 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2011 - July 20, 2021
NATIONAL FINANCIAL SERVICES LLC
January 27, 2010 - February 1, 2011
FIDELITY BROKERAGE SERVICES LLC
January 23, 2003 - December 3, 2009
NATIONAL FINANCIAL SERVICES LLC
April 24, 1997 - December 31, 2002
FIDELITY BROKERAGE SERVICES LLC
February 5, 1996 - April 24, 1997
FIDELITY DISTRIBUTORS CORPORATION
May 6, 1994 - December 9, 1994
FIDELITY DISTRIBUTORS COMPANY 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
Series 7TO
Date: 1/29/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/29/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/29/2024
Operations Professional ExaminationCurrent 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
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.
