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Joseph Miceli

National Financial Services LLC

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About Joseph Miceli

Joseph Miceli is a financial professional with over 30 years of experience in the industry. Joseph is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. Joseph has held previous positions with Fidelity Distributors Corporation, National Financial Services LLC, Fidelity Brokerage Services, Inc., Putnam Mutual Funds Corp. and Hibbard Brown & Co., Inc.. Joseph has a broad range of experience in the financial services industry.

Firm Information

Joseph Miceli 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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Joseph Miceli’s Registration & Firm History

MA

02/21/2018 - Present

National Financial Services LLC (BOSTON MA)

RI

03/27/2001 - 11/02/2005

FIDELITY DISTRIBUTORS CORPORATION (SMITHFIELD RI)

MA

01/07/1997 - 03/27/2001

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

RI

01/15/1994 - 12/31/1996

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

MA

01/14/1993 - 11/29/1993

PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)

NY

12/19/1991 - 02/04/1992

HIBBARD BROWN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/27/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/13/1999

Series 24 - General Securities Principal Examination

BC

Issued 11/07/1996

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/1991

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 Joseph Miceli.
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