NATIONAL FINANCIAL SERVICES LLC

1 BrokerCheck ReportNATIONAL FINANCIAL SERVICES LLCS ection TitleReport SummaryFirm HistoryCRD# 1304118 Firm Profile2 - 7 Page(s)Firm Operations9 - 28 Disclosure Events29 Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your sure you know who you re dealing with when investing, and contact FINRA with any more information read ourinvestor alerton BrokerCheck BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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5 Thank you for using FINRA more information aboutFINRA, visit this site/information meansthat you accept the FINRAB rokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound atFor additional information aboutthe contents of this report, pleaserefer to the User Guidance Itprovides a glossary of terms and alist of frequently asked questions,as well as additional FINANCIAL SERVICESLLCCRD# 13041 SEC# 8-26740 Main Office Location245 SUMMER STREETBOSTON, MA 02210 Regulated by FINRA Boston OfficeMailing AddressTWO DESTINY WAYMAIL ZONE: WG3 DWESTLAKE, TX 76262 This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:Business Telephone Number617-563-7000 Summary for this FirmThis report summary provides an overview of the brokerage firm.

6 Additional information for this firm can be foundin the detailed EventsBrokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and FINANCIAL matters in which the firm orone of its control affiliates has been there events disclosed about this firm?YesThe following types of disclosures have beenreported:TypeCountRegulatory Event45 Arbitration12 Firm ProfileThis firm is classified as a limited liability firm was formed in Delaware on 06/08 fiscal year ends in HistoryInformation relating to the brokerage firm's historysuch as other business names and successions( , mergers, acquisitions) can be found in thedetailed OperationsIs this brokerage firm currently suspended with anyregulator?

7 NoThis firm conducts 14 types of firm is affiliated with FINANCIAL or firm does not have referral or financialarrangements with other brokers or firm is registered with: the SEC 17 Self-Regulatory Organizations 53 states and Guidance1 2022 FINRA. All rights reserved. Report about NATIONAL FINANCIAL SERVICES GuidanceThis firm is classified as a limited liability firm was formed in Delaware on 06/08 #This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name ProfileFirm Names and LocationsIts fiscal year ends in FINANCIAL SERVICES LLCSEC#130418-26740 Main Office LocationMailing AddressBusiness Telephone NumberDoing business as NATIONAL FINANCIAL SERVICES LLC617-563-7000 Regulated by FINRA Boston Office245 SUMMER STREETBOSTON, MA 02210 TWO DESTINY WAYMAIL ZONE: WG3 DWESTLAKE, TX 762622 2022 FINRA.

8 All rights reserved. Report about NATIONAL FINANCIAL SERVICES GuidanceThis section provides information relating to all direct owners and executive officers of the brokerage Owners and Executive OfficersFirm ProfilePositionPercentage of OwnershipIs this a public reportingcompany? position Start DateDoes this owner direct themanagement or policies ofthe firm?FIDELITY GLOBAL BROKERAGE GROUP, MEMBER75% or moreNoDomestic Entity06/2000 YesIs this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany? position Start DateDoes this owner direct themanagement or policies ofthe firm?ADAMS, ROBERT JOHNCHIEF OPERATIONS OFFICER/ELECTED MANAGERLess than 5%NoIndividual06/2019 Yes1291582Is this a domestic or foreignentity or an individual?

9 Legal Name & CRD# (if any):PositionPercentage of OwnershipPosition Start DateCRUPI, KAREN MICHELECHIEF LEGAL OFFICERLess than 5%Individual08/20082982229Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):3 2022 FINRA. All rights reserved. Report about NATIONAL FINANCIAL SERVICES GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePercentage of OwnershipIs this a public reportingcompany?Does this owner direct themanagement or policies ofthe firm?Less than 5%NoNoPositionPercentage of OwnershipIs this a public reportingcompany? position Start DateDoes this owner direct themanagement or policies ofthe firm?DEPOALO, RONALD EDWARDHEAD OF BROKERAGE OPERATIONS/ELECTED MANAGERLess than 5%NoIndividual11/2017 Yes5995085Is this a domestic or foreignentity or an individual?

10 Legal Name & CRD# (if any):PositionPercentage of OwnershipIs this a public reportingcompany? position Start DateDoes this owner direct themanagement or policies ofthe firm?DURBIN, MICHAEL ROSSCHIEF EXECUTIVE OFFICER/ELECTED MANAGERLess than 5%NoIndividual10/2017 Yes2090998Is this a domestic or foreignentity or an individual?Legal Name & CRD# (if any):DYER, JANET MARIE3186352 Legal Name & CRD# (if any):4 2022 FINRA. All rights reserved. Report about NATIONAL FINANCIAL SERVICES GuidanceDirect Owners and Executive Officers (continued)Firm ProfilePositionPercentage of OwnershipIs this a public reportingcompany? position Start DateDoes this owner direct themanagement or policies ofthe firm?CHIEF COMPLIANCE OFFICERLess than 5%NoIndividual03/2021 Yes3186352Is this a domestic or foreignentity or an individual?