Robert S. Dworacek

NATIONAL FINANCIAL SERVICES LLC

Smithfield, RI 02917

Some features on this profile are disabled

CRD#: 4291178

Professional summary

Robert Stephen Dworacek JR., who also goes by Robert Stephen Dworacek Jr, Robert Stephen Dworacek Jr., Robert Stephen Dworacek, Robert Dworacek, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Stephen Dworacek Jr | Robert Stephen Dworacek Jr. | Robert Stephen Dworacek | Robert Dworacek

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 Robert Stephen Dworacek JR.'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

January 1, 2010 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 13041

Smithfield, RI

Past

February 8, 2008 - February 23, 2009

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

SMITHFIELD, RI

Past

January 17, 2001 - December 6, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

Series 63

Date: 1/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/18/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/11/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

NATIONAL FINANCIAL SERVICES LLC

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

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Latest Form ADV

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.

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert S. Dworacek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Stephen Dworacek JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2001

Series 10

Date: 3/18/2005

Series 9

Date: 11/11/2004

FINRA

Current Firm

NATIONAL FINANCIAL SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONAL FINANCIAL SERVICES LLC

TRUST BUT VERIFY

Similar Advisors