Shelby L. Tarpy
Professional summary
Shelby Lynn Tarpy, who also goes by Shelby Lynn Rowe, Shelby Rowe, Shelby Tarpy, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Hudson, New Hampshire.
Shelby is registered as a RR (Registered Representative) and started their career in finance in 2020. Shelby has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shelby Lynn Tarpy's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
June 16, 2022 - December 5, 2024
DIGITAL BROKERAGE SERVICES LLC
January 10, 2020 - December 5, 2024
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/10/2020
General Securities Representative ExaminationFINRA
NYSE American LLC
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
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
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