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AP

Alexa L. Prouty

NATIONAL FINANCIAL SERVICES LLC
BOSTON, MA
Some features on this profile are disabled
CRD#: 7147687
AP

Professional summary

Alexa L Prouty, who also goes by Alexa L Prouty, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts and FIDELITY PRIME FINANCING located in Boston, Massachusetts.

Alexa is registered as a RR (Registered Representative) and started their career in finance in 2020. Alexa has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexa L Prouty

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 Alexa L Prouty'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

October 15, 2020 - Present

NATIONAL FINANCIAL SERVICES LLC

Office #2: 155 Seaport Blvd., Boston, MA 02210
BD
CRD#: 13041
BOSTON, MA
Current

January 9, 2025 - Present

FIDELITY PRIME FINANCING

Office #1: 155 Seaport Blvd., Boston, MA 02210
BD
CRD#: 299736
Boston, MA

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
Massachusetts
(11/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2021
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

FP
FIDELITY PRIME FINANCING
FIDELITY PRIME FINANCING | FIDELITY PRIME FINANCING, LLC

CRD#: 299736 / SEC#: , 8-70261

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
155 Seaport Boulevard, Boston, MA 02210
Mailing Address
245 Summer Street Mail Zone: V1b, Boston, MA 02210
Phone number
(617) 563-0844
Established
Delaware since 10/02/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.OWNER
CREEDON, ADAMCHIEF COMPLIANCE OFFICER5417517
HUNT, JON PETERDIRECTOR2270130
MARCHUK, ANTON VELECTED MANAGER4002432
REMMES, GREGORY JOHNPRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER2169049
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392
RICHARD, STEPHEN ROBERTPRESIDENT; ELECTED MANAGER3113456
RYAN, KRISTAC.L.O.; SECRETARY
TESAURO, THOMAS JOHNC.E.O., ELECTED MANAGER1862532

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

FIDELITY PRIME FINANCING

CRD#: 299736Boston, MA

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