Jacob A. Carpenter
Professional summary
Jacob Alan Carpenter, who also goes by Jacob Alan Carpenter, Jacob Carpenter, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 2022. Jacob has worked at 3 firms and has passed the Series 63, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacob Alan Carpenter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917August 28, 2023 - August 21, 2025
FIDELITY BROKERAGE SERVICES LLC
April 27, 2022 - July 19, 2023
PFS INVESTMENTS INC.
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 6TO
Date: 9/24/2025
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 8/28/2023
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
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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