Mark J. Peloquin

STRATEGIC ADVISERS LLC | Investor Center Planning Consultant

WESTMINSTER, MD

Some features on this profile are disabled

CRD#: 2829729

Professional summary

Mark J. Peloquin, who also goes by Mark John Peloquin, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Westminster, Maryland and FIDELITY BROKERAGE SERVICES LLC located in Towson, Maryland.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Biography

I really enjoy getting to know clients and work with them to navigate the sometimes complicated aspects of investing, asset allocation, financial, and holistic planning to and through retirement.  Working with the Fidelity team ensures they have the resources of over 75 years of experience.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark John Peloquin

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark J. Peloquin's CRS (Customer Relationship Summary).

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®

None

Education

University of Baltimore

Bachelor of Arts (BA) - Business Administration

1993

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 610 York Road, Towson, MD 21204

RIA

CRD#: 104555

WESTMINSTER, MD

Current

August 22, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 610 York Road, Towson, MD 21204

CRD#: 7784

Towson, MD

Past

September 20, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

TOWSON, MD

Past

September 26, 2013 - August 1, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BALTIMORE, MD

Past

September 26, 2013 - August 1, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BALTIMORE, MD

Past

April 8, 2013 - September 25, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BALTIMORE, MD

Past

April 1, 2013 - September 25, 2013

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BALTIMORE, MD

Past

July 22, 2009 - April 8, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

WESTMINSTER, MD

Past

July 22, 2009 - April 8, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

WESTMINSTER, MD

Past

January 22, 2009 - June 10, 2009

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

OWINGS MILLS, MD

Past

January 30, 2007 - June 10, 2009

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Past

March 16, 2006 - January 26, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - January 26, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

BALTIMORE, MD

Past

January 3, 2005 - December 5, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BALTIMORE, MD

Past

October 20, 2004 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 12, 1997 - June 24, 1999

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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.

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

Delaware
(8/22/2022)

District of Columbia
(1/6/2023)

Florida
(8/22/2022)

Maryland
(8/22/2022)

IAR

Maryland
(3/31/2025)

North Carolina
(1/6/2023)

Pennsylvania
(8/22/2022)

Virginia
(1/6/2023)

West Virginia
(1/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark J. Peloquin

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark J. Peloquin's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Baltimore

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2004

Series 63

Date: 6/11/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2004

Series 6

Date: 2/11/1997

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors