Fred L. Noriega
Professional summary
Fred Luis Noriega, who also goes by Fred Luis Noriega III, Fred Luis Noriega, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Fred is registered as a RR (Registered Representative) and started their career in finance in 1996. Fred has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fred Luis Noriega's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2008 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310January 11, 2005 - March 30, 2006
TD AMERITRADE, INC.
August 18, 2004 - January 10, 2005
NYLIFE SECURITIES LLC
May 24, 2002 - September 11, 2003
QUICK & REILLY, INC.
January 27, 2000 - June 21, 2002
BUCKMAN, BUCKMAN & REID, INC.
October 28, 1998 - February 24, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
January 22, 1996 - November 5, 1998
PATTERSON TRAVIS, INC.
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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