Erik R. Depalma
Professional summary
Erik Robert Depalma, who also goes by Erik R Depalma, Erik Depalma, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Jersey City, New Jersey.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2007. Erik has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik Robert Depalma's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 499 Washington Blvd, Jersey City, NJ 07310August 16, 2023 - June 27, 2025
FIDELITY BROKERAGE SERVICES LLC
June 30, 2022 - July 25, 2023
UBS FINANCIAL SERVICES INC.
June 13, 2007 - June 21, 2022
NATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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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