Susan M. Marshall
Professional summary
Susan Mcgarry Marshall, who also goes by Susan D Marshall, Susan M Marshall, Susan Donna Mcgarry, Susan Mcgarry Marshall, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Mcgarry Marshall's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917July 13, 2016 - June 7, 2021
VOYA FINANCIAL PARTNERS, LLC
January 1, 2008 - July 31, 2015
FIDELITY BROKERAGE SERVICES LLC
November 27, 1995 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
November 19, 1992 - November 15, 1995
SIGNATOR INVESTORS, INC.
November 18, 1992 - November 16, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 2, 1990 - May 3, 1991
COLONIAL INVESTMENT SERVICES
May 13, 1988 - February 2, 1990
COLONIAL INVESTMENT SERVICES, 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
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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