Mark S. Marrone
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 Stephen Marrone was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 14 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
February 3, 2026 - May 20, 2026
SVB WEALTH
February 3, 2026 - May 20, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
February 3, 2026 - May 20, 2026
FIRST CITIZENS ASSET MANAGEMENT, INC
August 13, 2025 - May 20, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
April 12, 2017 - June 17, 2025
CAVANAL HILL DISTRIBUTORS, INC,
September 27, 2004 - July 1, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 25, 2002 - September 27, 2004
ORBITEX FUNDS DISTRIBUTOR, INC.
February 11, 2002 - November 22, 2002
FUNDS DISTRIBUTOR, LLC
June 2, 1999 - February 1, 2000
METROPOLITAN LIFE INSURANCE COMPANY
June 2, 1999 - February 1, 2000
MSI FINANCIAL SERVICES, INC.
August 25, 1993 - August 25, 1998
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 3, 1992 - June 1, 1992
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 1990 - December 14, 1990
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
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 52TO
Date: 3/7/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/30/2023
Operations Professional ExaminationCurrent Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 |
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.
