Jacob J. Mozney
Professional summary
Jacob Joseph Mozney, who also goes by Jacob Mozney, Jake Mozney, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas and NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 2008. Jacob has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacob Joseph Mozney's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262July 22, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262September 20, 2012 - May 22, 2023
CHARLES SCHWAB & CO., INC.
June 17, 2010 - June 22, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 26, 2008 - January 28, 2009
EDWARD JONES
August 4, 2008 - January 28, 2009
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2023)
(7/22/2025)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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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