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Alan Radin

National Financial Services LLC

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About Alan Radin

Alan Radin is a financial professional with over 16 years of experience in the industry. Alan is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. Alan has a broad range of experience, having previously worked with National Financial Services LLC and Fidelity Brokerage Services LLC. Alan holds several industry licenses, including Series 7, 9, 10, 24, 63, and 66. Alan is also a registered principal with National Financial Services LLC and Fidelity Brokerage Services LLC.

Firm Information

Alan Radin is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alan Radin’s Registration & Firm History

RI

10/04/2018 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

06/19/2014 - 08/06/2015

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

CT

06/08/2010 - 06/04/2014

FIDELITY BROKERAGE SERVICES LLC (STAMFORD CT)

RI

04/18/2007 - 05/05/2010

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

07/18/2006 - 12/11/2006

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 04/26/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/28/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/2019

Series 24 - General Securities Principal Examination

BC

Issued 09/07/2010

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/02/2010

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alan Radin.
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