Matthew J. Enos
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.
Matthew James Enos was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1996. Matthew had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2011 - June 20, 2014
NATIONAL FINANCIAL SERVICES LLC
October 3, 2006 - April 13, 2010
FIDELITY BROKERAGE SERVICES LLC
May 5, 2006 - April 14, 2010
NATIONAL FINANCIAL SERVICES LLC
June 23, 2003 - November 8, 2005
RAYMOND JAMES & ASSOCIATES, INC.
September 23, 2002 - July 2, 2003
ADVEST, INC.
June 20, 2000 - October 5, 2001
GRUNTAL & CO., L.L.C.
January 14, 1999 - June 12, 2000
OPPENHEIMER & CO. INC.
June 1, 1998 - January 4, 1999
TD AMERITRADE, INC.
March 13, 1996 - May 12, 1998
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 55
Date: 4/10/1999
Limited Representative-Equity Trader ExamCurrent 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.
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