NATIONAL FINANCIAL SERVICES, LLC
CRD #13041 SEC #801-50706 BOSTON, MA 617-563-8300
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
2,100
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2022
- Branch Offices
- 2
- LEI
- 549300JRHF1MHHWUAW04
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADAMS, ROBERT JOHN | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| ADAMS, ROBERT JOHN | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| ADAMS, ROBERT JOHN | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| ADAMS, ROBERT JOHN | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| ADAMS, ROBERT JOHN | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| ASHKENAS, NORMAN LEE | I | COMPLIANCE OFFICER - IA | NA | |
| CONROY, BRIAN BERNARD | I | PRESIDENT, FCMS DIVISION | NA | Control |
| CONROY, BRIAN BERNARD | I | PRESIDENT, FCMS DIVISION | NA | Control |
| CONROY, BRIAN BERNARD | I | PRESIDENT, FCMS DIVISION | NA | Control |
| CONROY, BRIAN BERNARD | I | PRESIDENT, FCMS DIVISION | NA | Control |
| CONROY, BRIAN BERNARD | I | PRESIDENT, FCMS DIVISION | NA | Control |
| CRUPI, KAREN | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| CRUPI, KAREN MICHELE | I | CHIEF LEGAL OFFICER | NA | |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DEPOALO, RONALD EDWARD | I | HEAD OF BROKERAGE OPERATIONS/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DURBIN, MICHAEL ROSS | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| DYER, JANET MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DYER, JANET MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| EYSSALLENNE, DIANNE MARIE | I | CROP - BD | NA | |
| GOLDMAN, CHARLES GEORGE | I | CEO/DIRECTOR | NA | Control |
| GUANERI, PAUL GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GUANERI, PAUL GERARD | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION/DIRECTOR | NA | Control |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION/DIRECTOR | NA | Control |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | SENIOR VICE PRESIDENT | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION | NA | |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION/DIRECTOR | NA | Control |
| HAGGERTY, MARK ANDREW | I | PRESIDENT, FCMS DIVISION/DIRECTOR | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HAGGERTY, MARK ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER - BD | NA | Control |
| HEALY, MARK CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOLLENBECK, THOMAS FRANCIS | I | CROP | NA | |
| HOLLENBECK, THOMAS FRANCIS | I | CROP | NA | |
| HOLLENBECK, THOMAS FRANCIS | I | CROP | NA | |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER/DIRECTOR | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER/DIRECTOR | NA | Control |
| KATZELNICK, MARK C | I | CHIEF OPERATIONS OFFICER/DIRECTOR | NA | Control |
| KATZELNICK, MARK CURTIS | I | SENIOR VICE PRESIDENT, TREASURER | NA | |
| KATZELNICK, MARK CURTIS | I | SVP, TREASURER - BD & IA | NA | |
| KATZELNICK, MARK CURTIS | I | SVP, TREASURER - BD & IA | NA | |
| KATZELNICK, MARK CURTIS | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | ELECTED MANAGER | NA | Control |
| KATZELNICK, MARK CURTIS | I | ELECTED MANAGER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KOMISHANE, HARRIS G | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LAGARCE, JEFFREY PAUL | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| LAGARCE, JEFFREY PAUL | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| LAGARCE, JEFFREY PAUL | I | CHIEF EXECUTIVE OFFICER/ELECTED MANAGER | NA | Control |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LARSEN, JEFFREY ROBERT | I | CHIEF LEGAL COUNSEL - BD & GENERAL COUNSEL/SECRETARY - IA | NA | |
| LAWSON, RODGER ALAN | I | DIRECTOR | NA | Control |
| LAWSON, RODGER ALAN | I | DIRECTOR | NA | Control |
| LOTARDO, GREGORY STEPHEN | I | SROP | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LOTARDO, GREGORY STEPHEN | I | SROP - BD | NA | |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUX, THOMAS DOMINIC | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LYONS, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MACGILVRAY, JAMES PATRICK | I | EVP | NA | Control |
| MACGILVRAY, JAMES PATRICK | I | EVP | NA | Control |
| MACGILVRAY, JAMES PATRICK | I | EVP | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, COO, DIRECTOR - BD & IA | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, COO, DIRECTOR - BD & IA | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, COO, DIRECTOR | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, COO, DIRECTOR - BD & IA | NA | Control |
| MALO, NORMAN ROBERT | I | PRESIDENT, CEO, COO, DIRECTOR - BD & IA | NA | Control |
| MARLINSKI, JUDY | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCCOLGAN, ELLYN ANN | I | DIRECTOR - BD | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | COO | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD J. | I | CHIEF EXECUTIVE OFFICER/DIRECTOR | NA | Control |
| MCGRAW, GERARD JOHN | I | HEAD OF BROKERAGE OPERATIONS | NA | Control |
| MCGRAW, GERARD JOHN | I | HEAD OF BROKERAGE OPERATIONS | NA | Control |
| MCGRAW, GERARD JOHN | I | HEAD OF BROKERAGE OPERATIONS | NA | Control |
| MESSINGER, CRAIG CHARLES | I | EVP - BD & IA | NA | Control |
| MESSINGER, CRAIG CHARLES | I | EVP | NA | Control |
| MESSINGER, CRAIG CHARLES | I | EVP - BD & IA | NA | Control |
| MESSINGER, CRAIG CHARLES | I | EVP - BD & IA | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV | I | PRESIDENT/ELECTED MANAGER | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MIRCHANDANI, SANJIV HIRO | I | PRESIDENT/DIRECTOR | NA | Control |
| MOORE, ROBERT EMMETT | I | HEAD OF EQUITY TRADING AT FCM | NA | |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| O'BRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OBRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER - BD | NA | |
| OBRIEN, RICHARD JOHN | I | COMPLIANCE OFFICER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| RASH, TAMI | I | SENIOR VICE PRESIDENT/TREASURER | NA | |
| SAPERSTEIN, KAREN | I | CHIEF LEGAL COUNSEL- BD | NA | |
| SAPERSTEIN, KAREN | I | CHIEF LEGAL COUNSEL- BD | NA | |
| SAPERSTEIN, KAREN | I | CHIEF LEGAL OFFICER | NA | |
| SERVISON, ROGER THEODORE | I | DIRECTOR | NA | Control |
| SERVISON, ROGER THEODORE | I | DIRECTOR | NA | Control |
| SERVISON, ROGER THEODORE | I | ELECTED MANAGER | NA | Control |
| SERVISON, ROGER THEODORE | I | ELECTED MANAGER | NA | Control |
| SERVISON, ROGER THEODORE | I | ELECTED MANAGER | NA | Control |
| SERVISON, ROGER THEODORE | I | ELECTED MANAGER | NA | Control |
| SERVISON, ROGER THEODORE | I | ELECTED MANAGER | NA | Control |
| SONIER, MICHAEL | I | CHIEF ADMINISTRATIVE OFFICER/DIRECTOR | NA | Control |
| TESAURO, THOMAS JOHN | I | DIRECTOR | NA | Control |
| TESAURO, THOMAS JOHN | I | DIRECTOR | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| TESAURO, THOMAS JOHN | I | ELECTED MANAGER | NA | Control |
| WALLACE, JEFFREY SCOTT SR. | I | VP & CHIEF FINANCIAL OFFICER - IA | NA | Control |
| WASS, GREGORY J. | I | ASSISTANT TREASURER | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| WASS, JOHN GREGORY | I | ASSISTANT TREASURER - BD | NA | |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | CORPORATION/OWNER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR CORP. | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
| FMR LLC | DE | FIDELITY GLOBAL BROKERAGE GROUP, INC. | E | Control |
Registrations
Federal
IA
Mar 30, 2022 REGISTERED
Notice Filings (2)
CA MA
Address
245 SUMMER STREETMAIL ZONE Z2H
BOSTON, MA 02210
United States
Phone: 617-563-8300