ML
Mark J. Loduca
CITIZENS SECURITIES
Royal Oak, MI 48067
Some features on this profile are disabled
CRD#: 2784913
ML
Professional summary
Mark Joseph Loduca, who also goes by Mark J Loduca, Mark Josepth Loduca, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Royal Oak, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark J Loduca | Mark Josepth Loduca
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MARK LODUCA
POSITION: Owner NATURE: Music Entertainment and Recording INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1986
ADDRESS: 27944 Jean Rd, Warren MI 48093
DESCRIPTION: Performing jazz music at various venues. Recording artist and studio musician. Marketing recordings and receiving royalties on recordings played on radio or comericals, such as Riser Inc, CD Baby, Itunes and BMI.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Loduca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Joseph Loduca's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 South Main St. Mailstop: Mib775, Royal Oak, MI 48067Office #2: 20800 Greenfield Northland Mailstop: Mib783, Oak Park, MI 48237Office #3: 23011 Woodward Mailstop: Mib770, Ferndale, MI 48220RIA
BD
CRD#: 39550
Royal Oak, MI
Current
January 2, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 South Main St. Mailstop: Mib775, Royal Oak, MI 48067Office #2: 20800 Greenfield Northland Mailstop: Mib783, Oak Park, MI 48237Office #3: 23011 Woodward Mailstop: Mib770, Ferndale, MI 48220RIA
BD
CRD#: 39550
Royal Oak, MI
Past
July 25, 2018 - January 14, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MAUMEE, OH
Past
June 26, 2018 - January 14, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MAUMEE, OH
Past
July 16, 2012 - July 27, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, MI
Past
January 14, 2009 - July 27, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, MI
Past
June 3, 2008 - November 20, 2008
NEW ENGLAND SECURITIES
BD
CRD#: 615
SOUTHFIELD, MI
Past
October 9, 2006 - May 30, 2008
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
WARREN, MI
Past
December 2, 2005 - October 18, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 2, 2005 - October 18, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
July 23, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
November 14, 2003 - July 27, 2004
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
August 21, 1996 - November 17, 2003
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/9/2020)
IAR
Arizona(3/10/2020)
RR
Florida(2/27/2020)
IAR
Florida(2/28/2020)
RR
Michigan(1/2/2020)
IAR
Michigan(1/2/2020)
RR
South Carolina(10/26/2021)
IAR
South Carolina(10/27/2021)
RR
Texas(10/18/2022)
IAR
Texas(10/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
