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Thomas Sudol

National Financial Services LLC

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About Thomas Sudol

Thomas Sudol is a registered representative with National Financial Services LLC. Thomas has been in the securities industry since December 4, 2000. Thomas holds the Series 7, Series 63, and SIE licenses. Thomas has been employed by National Financial Services LLC since July 28, 2016. Previously, Thomas was employed by J.P. Morgan Clearing Corp., J.P. Morgan Securities LLC, J.P.MORGAN SECURITIES INC., ROYAL ALLIANCE ASSOCIATES, INC., TD AMERITRADE, INC., NATIONAL INVESTOR SERVICES CORP., SALOMON GREY FINANCIAL CORPORATION, INVESTEC ERNST & COMPANY, and ROYCE INVESTMENT GROUP, INC.

Firm Information

Thomas Sudol 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 Sudol’s Registration & Firm History

NJ

07/28/2016 - Present

National Financial Services LLC (JERSEY CITY NJ)

NY

10/16/2007 - 05/10/2016

J.P. MORGAN CLEARING CORP. (NEW YORK NY)

NY

04/08/2014 - 04/18/2014

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

10/16/2007 - 12/31/2008

J.P.MORGAN SECURITIES INC. (BROOKLYN NY)

AZ

04/03/2007 - 11/14/2007

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NY

11/16/2000 - 06/26/2006

TD AMERITRADE, INC. (NEW YORK NY)

NY

01/18/2006 - 04/20/2006

NATIONAL INVESTOR SERVICES CORP. (NEW YORK NY)

TX

06/07/2000 - 10/06/2000

SALOMON GREY FINANCIAL CORPORATION (DALLAS TX)

NY

10/29/1999 - 05/09/2000

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

10/06/1999 - 10/29/1999

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

BC

Issued 10/07/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Sudol.
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