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Maureen Slattery

National Financial Services LLC

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About Maureen Slattery

Maureen Slattery is a financial professional with over 20 years of experience in the industry. Maureen currently holds registrations with National Financial Services LLC, Fidelity Brokerage Services LLC and Fidelity Distributors Co. LLC. Maureen previously worked for Fidelity Investments Institutional Services Company, Inc. and Columbia Funds Distributor, Inc. Maureen is a Series 7, 6, 24, 26 and 51 licensed professional and holds the SIE exam certification.

Firm Information

Maureen Slattery 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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Maureen Slattery’s Registration & Firm History

RI

10/06/2020 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

03/17/2005 - 10/21/2005

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

MA

03/28/2000 - 06/25/2004

COLUMBIA FUNDS DISTRIBUTOR, INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 12/19/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2013

Series 24 - General Securities Principal Examination

BC

Issued 05/19/2008

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 07/02/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/2012

Series 7 - General Securities Representative Examination

BC

Issued 03/27/2000

Series 6 - Investment Company Products/Variable Contracts 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 Maureen Slattery.
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