Ryan Duclos
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Duclos, who also goes by Ryan Michael Duclos, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2003. Ryan had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2007 - July 6, 2026
NATIONAL FINANCIAL SERVICES LLC
February 3, 2006 - January 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 3, 2006 - January 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 12, 2005 - January 26, 2006
CETERA WEALTH SERVICES, LLC
October 20, 2004 - March 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 7, 2003 - October 20, 2004
QUICK & REILLY, INC.
May 30, 2003 - October 20, 2004
QUICK & REILLY, 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
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 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 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.
