John M. Frith
Professional summary
John M Frith, who also goes by John Michael Frith, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John M Frith's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2016 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015June 28, 2013 - May 3, 2016
FIDELITY BROKERAGE SERVICES LLC
May 24, 2007 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
April 25, 2000 - December 7, 2006
FIDELITY BROKERAGE SERVICES 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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