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Stephen Peters

National Financial Services LLC

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About Stephen Peters

Stephen Peters is a financial professional with over 17 years of experience in the financial services industry. Stephen has a strong track record of success in helping clients achieve their financial goals. Stephen currently works with National Financial Services LLC and Fidelity Brokerage Services LLC. Previously, Stephen was employed by Fidelity Investments Institutional Services Company, Inc., Ameriprise Financial Services, Inc., and IDS Life Insurance Company. Stephen is licensed to sell securities in Massachusetts, Rhode Island, and Texas. Stephen holds the Series 7 and Series 66 licenses.

Firm Information

Stephen Peters 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 Peters’s Registration & Firm History

RI

04/13/2022 - Present

National Financial Services LLC (SMITHFIELD RI)

MA

02/13/2007 - 07/09/2018

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (BOSTON MA)

RI

06/27/2005 - 01/17/2007

AMERIPRISE FINANCIAL SERVICES, INC. (CRANSTON RI)

MN

06/27/2005 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 05/23/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2005

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 Stephen Peters.
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