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Ellen Judith Foisy

National Financial Services LLC

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About Ellen Judith Foisy

Ellen Judith Foisy has been active in the financial services industry since May 2002 and is currently registered with National Financial Services LLC. Ellen has a wide range of experience in the financial services industry, having worked with several firms, including Fidelity Brokerage Services LLC. Ellen has passed the General Securities Representative Examination, the General Securities Principal Examination, and the Uniform Securities Agent State Law Examination.

Firm Information

Ellen Foisy 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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Ellen Foisy’s Registration & Firm History

RI

01/25/2011 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

09/20/2002 - 11/11/2009

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

05/23/2001 - 09/26/2002

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

02/22/2001 - 05/23/2001

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 01/29/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/20/2014

Series 24 - General Securities Principal Examination

BC

Issued 05/09/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/30/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/2001

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 Ellen Judith Foisy.
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