Thomas P. Fielding
Professional Summary
Thomas P. Fielding, who also goes by Thomas Patrick Fielding, is a registered financial advisor currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 1 firm and has passed the SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas P. Fielding, Thomas Patrick Fielding
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Disclosures on record.
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Current Firm
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
Contact Information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,100FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
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 |
| MCGRAW, GERARD JOHN | DIRECTOR | 4713963 |
| PAGLIOCCO, JAMES (NMN) | DIRECTOR | 2141541 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
Regulatory Event
47Civil Event
1Arbitration
15Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas P. Fielding's CRS (Customer Relationship Summary).
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC