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Thomas Patrick Fielding

National Financial Services LLC

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About Thomas Patrick Fielding

Thomas Fielding is a registered representative with National Financial Services LLC. Thomas has been in the securities industry since October 14, 2013. Thomas has passed the Securities Industry Essentials Examination (SIE) and the General Securities Representative Examination (Series 7).

Firm Information

Thomas Fielding 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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Thomas Fielding’s Registration & Firm History

RI

10/15/2013 - Present

National Financial Services LLC (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Patrick Fielding.
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