Efim Fattakhov
Professional summary
Efim Fattakhov, who also goes by Efim Y Fattakhov, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Efim is registered as a RR (Registered Representative) and started their career in finance in 1996. Efim has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 31, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Efim Fattakhov's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2008 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310April 2, 2007 - May 6, 2008
MORGAN STANLEY & CO. LLC
February 15, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 10, 2003 - February 6, 2006
OPPENHEIMER & CO. INC.
February 13, 2001 - March 31, 2003
ICLEARING LLC
March 30, 1999 - August 16, 2000
TD AMERITRADE, INC.
June 3, 1996 - March 25, 1999
MORGAN STANLEY DW 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 ExaminationSeries 55
Date: 5/20/2002
Limited Representative-Equity Trader ExamFINRA
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
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.
