Stewart P. Shumrick
Professional summary
Stewart Patrick Shumrick, who also goes by Stewart Patrick Shumrick, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Stewart is registered as a RR (Registered Representative) and started their career in finance in 2022. Stewart has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stewart Patrick Shumrick's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015March 31, 2025 - July 3, 2025
STRATEGIC ADVISERS LLC
November 2, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 28, 2022 - July 3, 2025
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: 1/28/2022
General Securities Representative ExaminationFINRA
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
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Covington, KY 41015TRUST BUT VERIFY
Monitor Stewart Shumrick
Get automatic monthly alerts on:
