Mark A. Marella
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 Antonio Marella was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2006 - April 18, 2012
FIDELITY DISTRIBUTORS COMPANY LLC
October 20, 2005 - August 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 2005 - August 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 13, 2004 - October 14, 2005
MSI FINANCIAL SERVICES, INC.
August 29, 2003 - October 14, 2005
METROPOLITAN LIFE INSURANCE COMPANY
August 29, 2003 - October 14, 2005
MSI FINANCIAL SERVICES, INC.
April 5, 2001 - August 8, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
August 4, 1998 - November 23, 1999
DEAM INVESTOR SERVICES, INC.
July 25, 1997 - May 12, 1998
AMERIPRISE ADVISOR SERVICES, 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 DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
