Mark A. Alberta
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.
Mark Anthony Alberta was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27, Series 4 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
December 14, 2021 - September 26, 2023
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
August 24, 2011 - June 9, 2021
M&T SECURITIES, INC.
August 24, 2011 - June 9, 2021
M&T SECURITIES, INC.
July 23, 1999 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
March 29, 1990 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
November 22, 1988 - October 14, 1989
AMERIPRISE ADVISOR SERVICES, INC.
November 2, 1988 - November 19, 1988
CADARET, GRANT & CO., INC.
February 29, 1988 - November 17, 1988
FOCUS SECURITIES, INC.
April 25, 1986 - June 15, 1987
COVENANT SECURITIES, INC.
Primary Firm SEC Registration
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
CRD#: 106909 / SEC#: 801-50883
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
CRD#: 106909 / SEC#: 801-50883
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,540 |
| AUM (Assets Under Management) | $ 17,432,390,316 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/28/2024 | ||
| 09/08/2023 | ||
| 10/21/2022 |
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.
