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Stephen James Pelletier

National Financial Services LLC

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About Stephen James Pelletier

Stephen Pelletier is a financial professional with over two decades of experience in the industry. He is currently registered with National Financial Services LLC and previously held positions with Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. Stephen has a comprehensive understanding of the financial markets, having successfully completed a variety of exams and certifications. He specializes in helping clients achieve their financial goals through a personalized approach, utilizing his extensive knowledge and experience to provide tailored advice and strategies.

Firm Information

Stephen Pelletier 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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Stephen Pelletier’s Registration & Firm History

RI

01/16/2019 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

12/11/2012 - 10/29/2018

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

07/18/2013 - 12/31/2014

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

07/27/2007 - 11/29/2012

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

01/08/2002 - 07/03/2007

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

05/14/2001 - 10/30/2001

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

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Licenses & Designations

BC

Issued 12/28/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/29/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/07/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/24/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/07/2002

Series 7 - General Securities Representative Examination

BC

Issued 03/08/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen James Pelletier.
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