Marty L. Roland
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.
Marty Lee Roland, who also goes by Martie Lee Bell, Marty Lee Bell, was a registered financial professional .
Marty is a previously registered financial professional and started their career in finance in 1990. Marty had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 10, Series 9 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
September 21, 2016 - August 22, 2018
MUTUAL SECURITIES, INC.
September 3, 2013 - July 21, 2015
MSI FINANCIAL SERVICES, INC.
March 22, 2007 - January 2, 2015
NEW ENGLAND SECURITIES
June 10, 1993 - July 21, 2003
UBS FINANCIAL SERVICES INC.
January 6, 1993 - May 25, 1993
NBD BROKERAGE SERVICES, INC.
March 19, 1990 - January 6, 1993
SUMMIT BANK DISCOUNT BROKERAGE
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 62
Date: 3/16/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
