Tricia B. Haskins
Professional summary
Tricia B Haskins, who also goes by Tricia Christine Boffoli, Tricia Boffoli, Tricia Christine Haskins, Tricia Haskins, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.
Tricia is registered as a RR (Registered Representative) and started their career in finance in 1994. Tricia has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tricia B Haskins's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210October 20, 2017 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210September 17, 2020 - November 4, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
November 3, 2005 - May 26, 2009
FIDELITY BROKERAGE SERVICES LLC
September 26, 1997 - April 27, 1998
WELLS FARGO SECURITIES, LLC
July 10, 1997 - July 31, 1997
CITICORP INVESTMENT SERVICES
January 13, 1997 - July 8, 1997
A. G. EDWARDS & SONS, INC.
June 14, 1995 - August 8, 1995
COMMONWEALTH FINANCIAL NETWORK
November 7, 1994 - April 4, 1995
JANUS HENDERSON DISTRIBUTORS US 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
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 |
| 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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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Boston, MA 02210TRUST BUT VERIFY
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