Mark A. Berroth
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 Allan Berroth, who also goes by Mark A Berroth, Mark Allan Berroth, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2021 - October 12, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 29, 2021 - October 11, 2022
FIDELITY BROKERAGE SERVICES LLC
March 9, 2018 - November 5, 2020
EMPOWER FINANCIAL SERVICES, INC.
September 15, 2009 - July 27, 2016
PORTFOLIO BROKERAGE SERVICES, INC.
March 24, 2008 - April 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 6, 2005 - May 2, 2007
FIDELITY BROKERAGE SERVICES LLC
June 10, 2003 - January 27, 2005
FORESTERS EQUITY SERVICES, INC.
November 15, 1993 - April 23, 2002
DEAM INVESTOR SERVICES, INC.
September 10, 1992 - October 26, 1992
CHATFIELD DEAN & CO., 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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
