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Fred Luis Noriega

National Financial Services LLC

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About Fred Luis Noriega

Fred Luis Noriega is a financial professional with over 20 years of experience in the financial services industry. Fred is currently registered with National Financial Services LLC and is a Series 7, Series 24, Series 63, SIE and Series 99TO licensed professional. Fred has a history of working with TD Waterhouse Investor Services, Inc., NYLIFE Securities Inc., QUICK & REILLY, INC., Buckman, Buckman & Reid, Inc., Pacific Continental Securities Corporation and Patterson Travis, Inc..

Firm Information

Fred Noriega 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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Fred Noriega’s Registration & Firm History

NJ

03/24/2008 - Present

National Financial Services LLC (JERSEY CITY NJ)

NE

01/11/2005 - 03/30/2006

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

NY

08/18/2004 - 01/10/2005

NYLIFE SECURITIES INC. (NEW YORK NY)

NY

05/24/2002 - 09/11/2003

QUICK & REILLY, INC. (NEW YORK NY)

NJ

01/27/2000 - 06/21/2002

BUCKMAN, BUCKMAN & REID, INC. (LITTLE SILVER NJ)

CA

10/28/1998 - 02/24/2000

PACIFIC CONTINENTAL SECURITIES CORPORATION (BEVERLY HILLS CA)

CO

01/22/1996 - 11/05/1998

PATTERSON TRAVIS, INC. (ENGLEWOOD CO)

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Licenses & Designations

BC

Issued 01/31/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/1996

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 Fred Luis Noriega.
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