Joyce F. Marsilia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joyce Farris Marsilia, who also goes by Joyce Farris Morris, Joyce Farris Morrismarsilia, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1986. Joyce had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1994 - July 12, 2017
FIDELITY DISTRIBUTORS COMPANY LLC
May 23, 1994 - June 14, 1994
NATIONAL FINANCIAL SERVICES LLC
December 5, 1990 - April 29, 1991
MABON, NUGENT & CO.
January 22, 1990 - October 17, 1990
SANDLER, O'NEILL & PARTNERS, L.P.
May 4, 1989 - January 9, 1990
PRESCOTT, BALL & TURBEN, INC.
March 9, 1987 - May 6, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
August 28, 1986 - April 2, 1987
BANCTEXAS SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
