Michael P. Scanlon
Professional summary
Michael P Scanlon, who also goes by Michael Patrick Scanlon, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island and NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael P Scanlon's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917August 27, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917October 16, 2018 - August 22, 2019
PERSHING ADVISOR SOLUTIONS LLC
March 20, 2017 - November 15, 2018
BBR PARTNERS, LLC
March 18, 2013 - August 3, 2015
J.P. MORGAN SECURITIES LLC
September 28, 2010 - August 10, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
May 20, 2009 - September 15, 2010
CALAMOS WEALTH MANAGEMENT LLC
November 22, 2005 - September 15, 2010
CALAMOS FINANCIAL SERVICES LLC
May 14, 2002 - August 26, 2005
UBS SECURITIES LLC
September 3, 1997 - April 16, 2002
GOLDMAN SACHS & CO. 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
(8/7/2025)
(8/8/2025)
(8/7/2025)
(8/7/2025)
(8/6/2025)
(8/7/2025)
(8/7/2025)
(8/7/2025)
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(8/7/2025)
(8/7/2025)
(8/7/2025)
Exams
Series 7TO
Date: 7/25/2025
General Securities Representative 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
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
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