Pedro E. Munoz
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.
Pedro Enrique Munoz was a registered financial professional .
Pedro is a previously registered financial professional and started their career in finance in 1998. Pedro had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2015 - July 10, 2017
NATIONAL FINANCIAL SERVICES LLC
September 26, 2008 - January 2, 2015
E*TRADE SECURITIES LLC
December 14, 2007 - November 25, 2013
E*TRADE CLEARING LLC
March 30, 2006 - December 14, 2007
E*TRADE SECURITIES LLC
January 29, 2003 - August 24, 2004
TD AMERITRADE CLEARING, INC.
June 30, 2001 - October 14, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
March 24, 1999 - June 30, 2001
ICAPITAL MARKETS LLC
August 11, 1998 - October 21, 1998
AMERIPRISE ADVISOR SERVICES, INC.
April 21, 1998 - August 11, 1998
NATIONAL CLEARING CORP.
February 6, 1998 - March 19, 1998
DUKE & CO., 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
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.
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