Mark S. Roberts
Professional summary
Mark S Roberts, who also goes by Mark Stadler Roberts, Mark Roberts, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Greenwood Village, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark S Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2022 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111December 4, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932December 19, 2017 - February 24, 2022
FIDELITY BROKERAGE SERVICES LLC
May 12, 2016 - January 25, 2018
FIDELITY DISTRIBUTORS COMPANY LLC
September 2, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
May 24, 2013 - September 4, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
March 10, 2011 - November 8, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
November 6, 2009 - March 11, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
January 17, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
December 16, 1993 - September 12, 1995
PHOENIX SECURITIES, INC.
May 28, 1992 - December 31, 1992
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
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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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