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TS

Thomas Sudol

NATIONAL FINANCIAL SERVICES LLC
Jersey City, NJ 07310
Some features on this profile are disabled
CRD#: 3259541
TS

Professional summary

Thomas Sudol is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Sudol's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 28, 2016 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 499 Washington Blvd, Jersey City, NJ 07310
BD
CRD#: 13041
Jersey City, NJ
Past

April 8, 2014 - April 18, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 16, 2007 - December 31, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BROOKLYN, NY
Past

October 16, 2007 - May 10, 2016

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
NEW YORK, NY
Past

April 3, 2007 - November 14, 2007

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

January 18, 2006 - April 20, 2006

NATIONAL INVESTOR SERVICES CORP.

BD
CRD#: 39410
NEW YORK, NY
Past

November 16, 2000 - June 26, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
NEW YORK, NY
Past

June 7, 2000 - October 6, 2000

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

October 29, 1999 - May 9, 2000

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

October 6, 1999 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041 / SEC#: 801-50706, 8-26740

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DEPOALO, RONALD EDWARDPRESIDENT5995085
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNELECTED MANAGER1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

Red Flags

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Company Information

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Jersey City, NJ 07310

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