Mark A. Martorell
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 Alexander Martorell, who also goes by Mark Alexander Martdrell, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2023 - December 16, 2025
LPL FINANCIAL LLC
March 8, 2023 - December 16, 2025
LPL FINANCIAL LLC
March 2, 2021 - November 1, 2022
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - November 1, 2022
TRUIST INVESTMENT SERVICES, INC.
June 27, 2018 - March 2, 2021
BB&T SECURITIES, LLC
June 26, 2018 - February 17, 2021
BB&T SECURITIES, LLC
September 21, 2011 - September 7, 2017
EVERTRADE DIRECT BROKERAGE, INC.
September 12, 2011 - September 7, 2017
EVERBANK WEALTH MANAGEMENT
January 4, 2006 - September 14, 2010
CHARLES SCHWAB & CO., INC.
August 25, 2005 - December 31, 2005
CHARLES SCHWAB & CO., INC.
August 23, 2005 - September 14, 2010
CHARLES SCHWAB & CO., INC.
March 15, 2005 - August 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 17, 2003 - August 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 4, 2002 - February 6, 2003
A. G. EDWARDS & SONS, INC.
November 28, 2001 - March 15, 2002
QUICK & REILLY, INC.
March 2, 1999 - August 31, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1996 - January 29, 1999
IDS LIFE INSURANCE COMPANY
December 19, 1996 - January 29, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
