RR
Rocco Russamano
NATIONAL FINANCIAL SERVICES LLC
New York City, NY 10019
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CRD#: 6990255
RR
Professional summary
Rocco Russamano, who also goes by Rocco P Russamano, Rocco Peter Russamano III, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in New York City, New York.
Rocco is registered as a RR (Registered Representative) and started their career in finance in 2020. Rocco has worked at 2 firms and has passed the Series 63, Series 66, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rocco P Russamano | Rocco Peter Russamano Iii
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 Rocco Russamano'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
May 10, 2021 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019BD
CRD#: 13041
New York City, NY
Past
October 1, 2020 - January 26, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
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Massachusetts(10/31/2025)
RR
New Jersey(10/31/2025)
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New York(10/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
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Series 7TO
Date: 9/30/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
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BOX Exchange LLC
SRO Registrations
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Cboe BYX Exchange, Inc.
SRO Registrations
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Cboe BZX Exchange, Inc.
SRO Registrations
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Cboe C2 Exchange, Inc.
SRO Registrations
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Cboe EDGA Exchange, Inc.
SRO Registrations
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Cboe EDGX Exchange, Inc.
SRO Registrations
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Cboe Exchange, Inc.
SRO Registrations
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FINRA
SRO Registrations
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Investors' Exchange LLC
SRO Registrations
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MEMX LLC
SRO Registrations
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NYSE American LLC
SRO Registrations
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NYSE Arca, Inc.
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq ISE, LLC
SRO Registrations
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Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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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)
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
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.
