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NF

Nicholas D. Farley

NATIONAL FINANCIAL SERVICES LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 6442640
NF

Professional summary

Nicholas David Farley, who also goes by Nicholas David Farley, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas David Farley

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 Nicholas David Farley'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

May 31, 2017 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: 155 Seaport Blvd., Boston, MA 02210
BD
CRD#: 13041
Boston, MA
Past

January 4, 2017 - May 18, 2017

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

April 13, 2015 - May 18, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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
(1/5/2024)
RR
Alaska
(1/5/2024)
RR
Arizona
(1/5/2024)
RR
Arkansas
(1/5/2024)
RR
California
(1/5/2024)
RR
Colorado
(1/5/2024)
RR
Connecticut
(1/5/2024)
RR
Delaware
(1/5/2024)
RR
District of Columbia
(1/5/2024)
RR
Florida
(1/5/2024)
RR
Georgia
(1/5/2024)
RR
Hawaii
(1/5/2024)
RR
Idaho
(1/5/2024)
RR
Illinois
(1/5/2024)
RR
Indiana
(1/5/2024)
RR
Iowa
(1/5/2024)
RR
Kansas
(1/5/2024)
RR
Kentucky
(1/5/2024)
RR
Louisiana
(1/5/2024)
RR
Maine
(1/5/2024)
RR
Maryland
(1/5/2024)
RR
Massachusetts
(5/31/2017)
RR
Michigan
(1/5/2024)
RR
Minnesota
(1/5/2024)
RR
Mississippi
(1/5/2024)
RR
Missouri
(1/5/2024)
RR
Montana
(1/5/2024)
RR
Nebraska
(1/5/2024)
RR
Nevada
(1/5/2024)
RR
New Hampshire
(1/5/2024)
RR
New Jersey
(1/5/2024)
RR
New Mexico
(1/5/2024)
RR
New York
(1/5/2024)
RR
North Carolina
(1/5/2024)
RR
North Dakota
(1/5/2024)
RR
Ohio
(1/6/2024)
RR
Oklahoma
(1/5/2024)
RR
Oregon
(1/5/2024)
RR
Pennsylvania
(1/5/2024)
RR
Puerto Rico
(1/5/2024)
RR
Rhode Island
(1/5/2024)
RR
South Carolina
(1/5/2024)
RR
South Dakota
(1/5/2024)
RR
Tennessee
(1/5/2024)
RR
Texas
(1/5/2024)
RR
Utah
(1/5/2024)
RR
Vermont
(1/5/2024)
RR
Virgin Islands
(1/5/2024)
RR
Virginia
(1/5/2024)
RR
Washington
(1/5/2024)
RR
West Virginia
(1/5/2024)
RR
Wisconsin
(1/5/2024)
RR
Wyoming
(1/5/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/21/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/2018
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.SOLE MEMBER
ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGER1291582
CREEDON, ADAM JINTERIM CHIEF COMPLIANCE OFFICER5417517
CRUPI, KAREN MICHELECHIEF LEGAL OFFICER2982229
DYER, JANET MARIECHIEF COMPLIANCE OFFICER3186352
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
TESAURO, THOMAS JOHNPRESIDENT1862532
TESAURO, THOMAS JOHNELECTED MANAGER1862532

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#: 13041Boston, MA 02210

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