Mark Stanley
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 Stanley, who also goes by Mark K Stanley, Mark K. Stanley, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 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
October 17, 2018 - August 5, 2019
NATIONAL FINANCIAL SERVICES LLC
March 11, 2011 - August 5, 2019
FIDELITY BROKERAGE SERVICES LLC
November 6, 2009 - February 4, 2010
WELLS FARGO SECURITIES, LLC
March 13, 2001 - February 4, 2010
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
June 16, 1998 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 1996 - November 4, 1997
FIRST UNION CAPITAL MARKETS CORP.
March 8, 1994 - February 2, 1996
CARGILL CAPITAL MARKETS, INC.
November 16, 1988 - March 2, 1993
J.P. MORGAN SECURITIES 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
Exams
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
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.
