Mark W. Roberts
Professional summary
Mark W Roberts, who also goes by Mark William Roberts, Mark Roberts, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts and NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark W Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2005 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210December 10, 2018 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210October 4, 1995 - September 6, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
October 11, 1992 - May 21, 1993
NATIONAL FINANCIAL SERVICES LLC
September 24, 1987 - October 4, 1995
FIDELITY BROKERAGE SERVICES LLC
September 3, 1985 - June 13, 1986
CITISTREET EQUITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2021)
(9/29/2005)
(1/12/2021)
(1/12/2021)
(1/12/2021)
(1/12/2021)
Exams
Series 8
Date: 2/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Boston, MA 02210TRUST BUT VERIFY
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