Helen J. Mcmurtrie
Professional summary
Helen J. Mcmurtrie, who also goes by Helen Joyce Mcmurtrie, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Helen is registered as a RR (Registered Representative) and started their career in finance in 2001. Helen has worked at 2 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 Helen J. Mcmurtrie's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2004 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917July 10, 2001 - March 11, 2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2024)
(1/3/2013)
Exams
Cboe 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#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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