Andrew W. Raczkowski
Professional summary
Andrew Wayne Raczkowski, who also goes by Andrew Wayne Raczkowski, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Wayne Raczkowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2018 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917March 22, 2011 - February 14, 2018
FIDELITY BROKERAGE SERVICES LLC
January 4, 2010 - February 28, 2011
NATIONAL FINANCIAL SERVICES LLC
November 30, 2001 - December 11, 2008
FIDELITY BROKERAGE SERVICES LLC
September 10, 1998 - May 5, 2000
FIDELITY BROKERAGE SERVICES LLC
November 10, 1997 - August 10, 1998
UBS FINANCIAL SERVICES INC.
May 28, 1997 - November 10, 1997
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
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 |
| CREEDON, ADAM J | INTERIM CHIEF COMPLIANCE OFFICER | 5417517 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| 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 Andrew Raczkowski
Get automatic monthly alerts on:
