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SC

Shane R. Cornwell

NATIONAL FINANCIAL SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 7118726
SC

Professional summary

Shane R. Cornwell, who also goes by Shane Robert Cornwell, Shane Cornwell, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.

Shane is registered as a RR (Registered Representative) and started their career in finance in 2019. Shane has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shane Robert Cornwell | Shane Cornwell

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 Shane R. Cornwell'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

January 13, 2022 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #1: Two Destiny Way, Westlake, TX 76262
BD
CRD#: 13041
Westlake, TX
Past

May 6, 2021 - December 6, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
WESTLAKE, TX
Past

June 28, 2019 - November 30, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/3/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/8/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

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.

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Company Information

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041Westlake, TX 76262

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