JW
Jon W. Whiting
NATIONAL FINANCIAL SERVICES LLC
Boston, MA 02210
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CRD#: 4409070
JW
Professional summary
Jon W. Whiting, who also goes by Jon Winslow Whiting, Jon Whiting, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.
Jon is registered as a RR (Registered Representative) and started their career in finance in 2001. Jon has worked at 3 firms and has passed the Series 63, Series 7TO, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jon Winslow Whiting | Jon Whiting
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.
CRS (Client Relationship Summary) - BD
Click below to view Jon W. Whiting'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®
NoneExperience
Current
June 18, 2020 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 13041
Boston, MA
Past
July 12, 2004 - April 1, 2010
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
July 9, 2001 - February 11, 2003
HEARTLAND SECURITIES CORP.
BD
CRD#: 43201
EDISON, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/22/2020)
RR
Alaska(6/22/2020)
RR
Arizona(6/22/2020)
RR
Arkansas(6/23/2020)
RR
California(6/19/2020)
RR
Colorado(6/22/2020)
RR
Connecticut(6/23/2020)
RR
Delaware(6/30/2020)
RR
District of Columbia(6/25/2020)
RR
Florida(6/22/2020)
RR
Georgia(6/22/2020)
RR
Hawaii(6/22/2020)
RR
Idaho(6/19/2020)
RR
Illinois(6/23/2020)
RR
Indiana(7/1/2020)
RR
Iowa(6/19/2020)
RR
Kansas(6/26/2020)
RR
Kentucky(6/23/2020)
RR
Louisiana(6/23/2020)
RR
Maine(6/22/2020)
RR
Maryland(6/19/2020)
RR
Massachusetts(6/22/2020)
RR
Michigan(6/24/2020)
RR
Minnesota(6/23/2020)
RR
Mississippi(6/22/2020)
RR
Missouri(6/19/2020)
RR
Montana(6/19/2020)
RR
Nebraska(6/22/2020)
RR
Nevada(11/30/2020)
RR
New Hampshire(7/6/2020)
RR
New Jersey(6/22/2020)
RR
New Mexico(6/26/2020)
RR
New York(6/23/2020)
RR
North Carolina(11/30/2020)
RR
North Dakota(6/22/2020)
RR
Ohio(6/19/2020)
RR
Oklahoma(6/22/2020)
RR
Oregon(6/23/2020)
RR
Pennsylvania(6/22/2020)
RR
Puerto Rico(6/23/2020)
RR
Rhode Island(6/23/2020)
RR
South Carolina(6/24/2020)
RR
South Dakota(6/22/2020)
RR
Tennessee(6/22/2020)
RR
Texas(6/22/2020)
RR
Utah(6/19/2020)
RR
Vermont(6/22/2020)
RR
Virgin Islands(6/24/2020)
RR
Virginia(6/22/2020)
RR
Washington(6/22/2020)
RR
West Virginia(6/22/2020)
RR
Wisconsin(6/22/2020)
RR
Wyoming(6/22/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 7/27/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
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
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.
Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Boston, MA 02210TRUST BUT VERIFY
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