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Sean Michael Peel

National Financial Services LLC

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About Sean Michael Peel

Sean Michael Peel is a financial advisor with over 27 years of experience in the industry. Sean has been registered with National Financial Services LLC since October 2022. Previously, Sean has worked at Fidelity Brokerage Services LLC, Fifth Third Securities, Inc., and National Financial Services LLC. Sean is licensed in 53 states and holds Series 4, 7, 55, 57TO, 63, and 65 licenses.

Firm Information

Sean Peel 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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Sean Peel’s Registration & Firm History

TX

10/18/2022 - Present

National Financial Services LLC (WESTLAKE TX)

OH

11/14/2003 - 11/22/2013

FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)

MA

02/26/1999 - 10/23/2003

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

RI

10/04/1995 - 02/26/1999

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

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Licenses & Designations

IA

Issued 12/13/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/17/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/20/1998

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/03/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

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 Sean Michael Peel.
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