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Courtney James Peshell

National Financial Services LLC

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About Courtney James Peshell

Courtney James Peshell is a financial professional with over 24 years of experience in the industry. Courtney is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. Courtney has been registered with National Financial Services LLC since 7/22/2015 and Fidelity Brokerage Services LLC since 9/10/2014. Previously, Courtney was registered with National Financial Services LLC from 7/26/2007 to 8/14/2014 and Fidelity Brokerage Services LLC from 8/20/1998 to 6/1/2007.

Firm Information

Courtney Peshell 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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Courtney Peshell’s Registration & Firm History

CA

07/22/2015 - Present

National Financial Services LLC (SAN FRANCISCO CA)

TX

07/26/2007 - 08/14/2014

NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)

CA

08/20/1998 - 06/01/2007

FIDELITY BROKERAGE SERVICES LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 09/22/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/06/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/22/2004

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 08/13/1998

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 Courtney James Peshell.
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