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Paul T. Massie

NATIONAL FINANCIAL SERVICES
JERSEY CITY, NJ 07310
CRD#: 4824271
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PM
Paul Thomas MassieNATIONAL FINANCIAL SERVICES

Professional summary

Paul Thomas Massie, who also goes by Paul Thomas Massie, Paul Massie, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Thomas Massie | Paul Massie

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 Paul Thomas Massie'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

June 8, 2026 - Present

NATIONAL FINANCIAL SERVICES LLC

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

September 20, 2024 - May 18, 2026

13D MANAGEMENT LLC

RIA
CRD#: 154009
NEW YORK, NY
Past

March 29, 2023 - April 30, 2026

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
New York, NY
Past

February 2, 2022 - January 30, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

January 13, 2021 - January 10, 2023

INNOVATIVE PORTFOLIOS LLC

RIA
CRD#: 281382
North Caldwell, NJ
Past

November 13, 2020 - November 30, 2021

ARBOR COURT CAPITAL, LLC

BD
CRD#: 143839
BROADVIEW HEIGHTS, OH
Past

April 8, 2020 - November 30, 2021

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA
CRD#: 118739
North Caldwell, NJ
Past

December 15, 2008 - December 3, 2018

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY
Past

July 24, 2008 - December 3, 2018

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY
Past

October 28, 2005 - July 24, 2008

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

September 27, 2004 - October 14, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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
(6/8/2026)
RR
Alaska
(6/8/2026)
RR
Arizona
(6/8/2026)
RR
Arkansas
(6/8/2026)
RR
California
(6/8/2026)
RR
Colorado
(6/8/2026)
RR
Connecticut
(6/8/2026)
RR
Delaware
(6/8/2026)
RR
District of Columbia
(6/8/2026)
RR
Florida
(6/8/2026)
RR
Georgia
(6/8/2026)
RR
Hawaii
(6/8/2026)
RR
Idaho
(6/8/2026)
RR
Illinois
(6/8/2026)
RR
Indiana
(6/8/2026)
RR
Iowa
(6/8/2026)
RR
Kansas
(6/8/2026)
RR
Kentucky
(6/8/2026)
RR
Louisiana
(6/8/2026)
RR
Maine
(6/8/2026)
RR
Maryland
(6/8/2026)
RR
Massachusetts
(6/8/2026)
RR
Michigan
(6/8/2026)
RR
Minnesota
(6/8/2026)
RR
Mississippi
(6/8/2026)
RR
Missouri
(6/8/2026)
RR
Montana
(6/8/2026)
RR
Nebraska
(6/8/2026)
RR
Nevada
(6/8/2026)
RR
New Hampshire
(6/8/2026)
RR
New Jersey
(6/8/2026)
RR
New Mexico
(6/8/2026)
RR
New York
(6/8/2026)
RR
North Carolina
(6/8/2026)
RR
North Dakota
(6/8/2026)
RR
Ohio
(6/8/2026)
RR
Oklahoma
(6/8/2026)
RR
Oregon
(6/8/2026)
RR
Pennsylvania
(6/8/2026)
RR
Puerto Rico
(6/8/2026)
RR
Rhode Island
(6/8/2026)
RR
South Carolina
(6/8/2026)
RR
South Dakota
(6/8/2026)
RR
Tennessee
(6/8/2026)
RR
Texas
(6/8/2026)
RR
Utah
(6/8/2026)
RR
Vermont
(6/8/2026)
RR
Virgin Islands
(6/8/2026)
RR
Virginia
(6/8/2026)
RR
Washington
(6/8/2026)
RR
West Virginia
(6/8/2026)
RR
Wisconsin
(6/8/2026)
RR
Wyoming
(6/8/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/12/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2004
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 55
Date: 3/29/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/16/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2007
General Securities Principal Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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)
Loading...

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

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNELECTED MANAGER1862532
TESAURO, THOMAS JOHNPRESIDENT1862532

Disclosures

Regulatory Event47
Civil Event1
Arbitration14

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#: 13041Jersey City, NJ 07310

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