Aubrey E. Willis
Professional summary
Aubrey E Willis, who also goes by Aubrey Elizabeth Willis, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Aubrey is registered as a RR (Registered Representative) and started their career in finance in 1998. Aubrey has worked at 4 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Aubrey E Willis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2016 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015July 18, 2013 - November 3, 2015
FIDELITY BROKERAGE SERVICES LLC
December 23, 2011 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
November 16, 2011 - November 23, 2011
FIDELITY BROKERAGE SERVICES LLC
January 21, 1998 - April 12, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 21, 1998 - December 23, 2008
OSAIC FA, 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
FINRA
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 |
| CREEDON, ADAM J | INTERIM CHIEF COMPLIANCE OFFICER | 5417517 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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