KE
Katherine Estes
NATIONAL FINANCIAL SERVICES LLC
BOSTON, MA
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CRD#: 6702363
KE
Professional summary
Katherine Estes, who also goes by Katherine Sarah Estes, Kat Estes, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2016. Katherine has worked at 2 firms and has passed the Series 63, Series 52, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine Sarah Estes | Kat Estes
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.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Estes'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®
NoneExperience
Current
November 15, 2017 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #2: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 13041
BOSTON, MA
Current
December 24, 2018 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 155 Seaport Blvd., Boston, MA 02210BD
CRD#: 7784
Boston, MA
Past
October 8, 2016 - October 11, 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(5/15/2019)
RR
Alaska(5/15/2019)
RR
Arizona(5/15/2019)
RR
Arkansas(5/15/2019)
RR
California(5/15/2019)
RR
Colorado(5/15/2019)
RR
Connecticut(5/15/2019)
RR
Delaware(5/15/2019)
RR
District of Columbia(5/15/2019)
RR
Florida(5/15/2019)
RR
Georgia(5/15/2019)
RR
Hawaii(5/15/2019)
RR
Idaho(5/15/2019)
RR
Illinois(5/15/2019)
RR
Indiana(5/15/2019)
RR
Iowa(5/15/2019)
RR
Kansas(5/15/2019)
RR
Kentucky(5/15/2019)
RR
Louisiana(5/15/2019)
RR
Maine(5/15/2019)
RR
Maryland(5/15/2019)
RR
Massachusetts(5/15/2019)
RR
Michigan(5/15/2019)
RR
Minnesota(5/15/2019)
RR
Mississippi(5/15/2019)
RR
Missouri(5/15/2019)
RR
Montana(5/15/2019)
RR
Nebraska(5/15/2019)
RR
Nevada(5/15/2019)
RR
New Hampshire(5/15/2019)
RR
New Jersey(5/15/2019)
RR
New Mexico(5/15/2019)
RR
New York(5/15/2019)
RR
North Carolina(5/15/2019)
RR
North Dakota(5/15/2019)
RR
Ohio(5/16/2019)
RR
Oklahoma(5/15/2019)
RR
Oregon(5/15/2019)
RR
Pennsylvania(5/15/2019)
RR
Puerto Rico(5/15/2019)
RR
Rhode Island(5/15/2019)
RR
South Carolina(5/15/2019)
RR
South Dakota(5/15/2019)
RR
Tennessee(5/15/2019)
RR
Texas(5/15/2019)
RR
Utah(5/15/2019)
RR
Vermont(5/15/2019)
RR
Virgin Islands(5/15/2019)
RR
Virginia(5/15/2019)
RR
Washington(5/15/2019)
RR
West Virginia(5/15/2019)
RR
Wisconsin(5/15/2019)
RR
Wyoming(5/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
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
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
