Andrew R. Whipple
Professional summary
Andrew R Whipple, who also goes by Andrew Ryan Whipple, Andrew Whipple, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2020. Andrew has worked at 3 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 Andrew R Whipple's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2023 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015August 9, 2021 - January 9, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 10, 2020 - January 6, 2023
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
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#: 13041Covington, KY 41015TRUST BUT VERIFY
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