National Financial Services Clearing Broker

National Financial Services LLC
National Financial Services LLC in which National Financial Services LLC provides trade execution, clearing, and other related services for your brokerage account. Quality service National Financial Services LLC and our broker- ... Fetch This Document

STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2016 AND ...
REPORT OF INDEPENDENT REGISTERED . PUBLIC ACCOUNTING FIRM . the financial position of National Financial Services LLC (the “Company”) at December 31, receive and amounts payable to clearing organizations and broker dealers arising from unsettled trades. ... Content Retrieval

Bankoh Investment Services, Inc. - Bank Of Hawaii
Bankoh Investment Services, Inc. (BISI) is an introducing broker/dealer and member of FINRA. Accounts are carried by National Financial Services ... Access Doc

Ameritas Announces Strategic Alliance With National Financial®
Ameritas Announces Strategic Alliance with National Financial® to serve as the sole clearing and custody provider for its broker dealer brokerage services. Clearing and custody services may be provided by National Financial Services LLC. 662760.1.0 Contact: Scott Stuckey, ... Document Retrieval

Helpful To Know - SiebertNet
Helpful to Know • NOT use this Clearing through National Financial Services LLC (“NFS”): Clearing # 0226 1. Provide all pages of the signed Transfer of Assets form and all pages of your most recent statement to your Broker/Dealer. 009990202 National Financial Services LLC, Member ... Read Full Source

Helpful To Know - Prudential Financial
Helpful to Know • Do NOT use this Clearing through National Financial Services National Financial Services LLC is Not responsible for market fluctuation on requests with written liquidation instructions. ... Fetch Doc

Mariner Holdings: Serving The Mass Affluent - YouTube
Fidelity Clearing & Custody Solutions provides a comprehens Skip as well as retirement recordkeepers, broker-dealer firms, and custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC ... View Video

Wells Fargo - Wikipedia
Wells Fargo services $1.8 trillion in home mortgages, LLC and Wells Fargo Advisors, LLC, as well as through national broker/dealer firms. Wells Fargo became the first major financial services firm to offer Internet banking. ... Read Article

HOME NEWS & OPINION DATA & RANKINGS CE QUIZ CAREERS EVENTS ...
The largest clearing firms for broker-dealers Ranked by number of broker-dealer clients National Financial Services LLC nationalfinancial.com 276 -5.2% Joe Kelly, HOME NEWS & OPINION DATA & RANKINGS ... Return Doc

National Planning Holdings Announces Sale To LPL Financial
“While we still very muchleading independent broker-dealer well suited to support financial advisors and their retail clients going forward.” of proprietary technology, brokerage and investment ... Read News

Fidelity Clearing & Custody Solutions pro Skip navigation Fidelity Wealthscape – The Gateway to your total advisor platform. Fidelity Clearing custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE ... View Video

FACTS What Does National Financial Services LLC Do With Your ...
Your broker-dealer has an agreement with National Financial Services LLC to provide clearing and other National Financial Services LLC FACTS What does National Financial Services LLC do with your personal information? WHO WE ARE Who is n National Financial does not share with ... Get Content Here

Thrivent Investment Management Inc. - Thrivent Financial
Thrivent Investment Management Inc. National Financial Services, Inc. (“NFS”), which charges fees for clearing, servicing and Company provides managed account and brokerage services through an unaffiliated broker-dealer as ... Fetch Here

FACTS What Does National Financial Services LLC Do ... - FISN
FACTS What does National Financial Services LLC do with your personal information? clearing, and other related services for your brokerage account. please contact your broker-dealer. National Financial Services LLC. National Financial Services LLC, Member NYSE, ... Read Here

NATIONAL FINANCIAL SERVICES LLC STATEMENT OF ... - Fidelity
National Financial Services LLC (the “Company”), Company earns a significant amount of its revenues providing clearing and other services for an affiliated receive and amounts payable to clearing organizations and broker dealers arising from unsettled trades. ... Read Full Source

National Securities Corporation
National Securities Corporation (NSC) either of those means, you should contact the clearing firm that maintains your account, National Financial Services at (800) 801-9942, COR Clearing LLC at (800) 811-3487, Gain Capital at (877) ... Fetch Document

National Financial Services LLC - Clearingcustody.fidelity.com
As a registered broker-dealer, National Financial Services LLC is subject to the rules and regulations of the Securities and Exchange Commission affi liated with National Financial Services LLC. Clearing, custody, and other brokerage services are provided by National Financial Services LLC ... Fetch Document

Prudential Investment Management Services LLC (PIMS)
Prudential Investment Management Services LLC, Three Gateway Center, 14th Floor, an introducing broker for retirement plans, a clearing broker for certain mutual fund platforms, PIMS acts as introducing broker to a clearing firm, National Financial Services LLC ... Fetch Content

MSI FINANCIAL SERVICES, INC.
MSI FINANCIAL SERVICES, INC This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s). Introducing Arrangements This firm does refer or introduce customers to other brokers and dealers. Name: NATIONAL FINANCIAL SERVICES LLC Business ... Access Full Source

Brokerage Commission Short-term Trading Fees And Fee Schedule
Brokerage Commission and Fee Schedule FEES AND COMPENSATION particular broker/dealers or market centers for execution. The payer, source, The offering broker, which may be our affiliate National Financial Services ... View Full Source

Reference Guide For Clients Of MML Investors Services, LLC
In order to enhance your understanding of MML Investors Services, we are providing this brochure through our broker dealer and other correspondent broker dealers that use National Financial Services, LLC (NFS) as their clearinghouse. ... Doc Retrieval

Investment Services Agreement - Union Bank
UnionBanc Investment Services LLC® the Introducing Broker (“UBIS” or “Investment Services”), and National Financial Services LLC the Clearing Broker (“NFS”), as further defined below, when they have accepted Client’s account in their respective offices. ... Read More

SPECIAL REPORT: CLEARING FIRMS
U.S. clearing firms ranked by broker-dealer clients. 10. Ridge Clearing and Outsourcing VSR Financial Services Inc. First Clearing LLC, Wachovia Securities LLC, Investacorp Inc. National Financial Services LLC, ... Document Retrieval

Month Ending - Depository Trust & Clearing Corporation
Wells fargo clearing services, llc 0148: icap corporates llc 0158: apex clearing corporation national securities clearing corporation scc division 0892: mizuho securities usa inc. 900 series. 2189 the bank of new york mellon/tullett preborn financial services 1: ... View Doc

List Of Securities Examinations - Wikipedia
List of securities examinations The following is a list of securities Conduct of business obligations of a broker dealer firm; Module 4: NASAA, and National Futures Association (NFA) financial securities examinations. ... Read Article