Marisa E. Allard
Professional summary
Marisa Elizabeth Allard, who also goes by Marisa E Allard, Marisa Elizabeth Allard, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Marisa is registered as a RR (Registered Representative) and started their career in finance in 2006. Marisa has worked at 7 firms and has passed the Series 63, SIE, Series 7TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marisa Elizabeth Allard's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917June 27, 2019 - June 14, 2022
EATON VANCE DISTRIBUTORS, INC.
September 18, 2013 - January 12, 2015
SANTANDER SECURITIES LLC
September 21, 2011 - August 7, 2012
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
June 1, 2009 - September 9, 2010
MORGAN STANLEY
September 8, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 14, 2007 - September 15, 2008
NATIONAL FINANCIAL SERVICES LLC
January 18, 2006 - May 2, 2006
VERAVEST INVESTMENTS, 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
Series 7TO
Date: 6/27/2019
General Securities Representative 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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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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