MM
Mark A. Martello
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2921926
MM
Professional summary
Mark Alan Martello, who also goes by Mark Martello, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Martello
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan Martello'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
October 11, 2024 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
July 11, 2017 - February 27, 2024
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
January 3, 2011 - April 10, 2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
CHICAGO, IL
Past
December 21, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
CHICAGO, IL
Past
January 29, 2010 - August 10, 2010
STEPHENS
RIA
CRD#: 3496
EVANSTON, IL
Past
September 23, 2008 - August 10, 2010
STEPHENS
BD
CRD#: 3496
EVANSTON, IL
Past
October 7, 2004 - December 7, 2005
PROMONTORY INTERFINANCIAL NETWORK, LLC
BD
CRD#: 131353
ARLINGTON, VA
Past
May 25, 2000 - December 13, 2002
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
March 2, 1999 - May 12, 2000
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
February 1, 1999 - February 23, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
September 24, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/11/2024)
RR
Alaska(10/11/2024)
RR
Arizona(10/11/2024)
RR
Arkansas(10/11/2024)
RR
California(10/11/2024)
RR
Colorado(10/11/2024)
RR
Connecticut(10/11/2024)
RR
Delaware(10/11/2024)
RR
District of Columbia(10/11/2024)
RR
Florida(10/11/2024)
RR
Georgia(10/11/2024)
RR
Hawaii(10/11/2024)
RR
Idaho(10/11/2024)
RR
Illinois(10/11/2024)
RR
Indiana(10/11/2024)
RR
Iowa(10/11/2024)
RR
Kansas(10/11/2024)
RR
Kentucky(10/11/2024)
RR
Louisiana(10/11/2024)
RR
Maine(10/11/2024)
RR
Maryland(10/11/2024)
RR
Massachusetts(10/11/2024)
RR
Michigan(10/11/2024)
RR
Minnesota(10/11/2024)
RR
Mississippi(10/11/2024)
RR
Missouri(10/11/2024)
RR
Montana(10/11/2024)
RR
Nebraska(10/11/2024)
RR
Nevada(10/11/2024)
RR
New Hampshire(10/11/2024)
RR
New Jersey(10/11/2024)
RR
New Mexico(10/11/2024)
RR
New York(10/11/2024)
RR
North Carolina(10/11/2024)
RR
North Dakota(10/11/2024)
RR
Ohio(10/11/2024)
RR
Oklahoma(10/11/2024)
RR
Oregon(10/11/2024)
RR
Pennsylvania(10/11/2024)
RR
Puerto Rico(10/11/2024)
RR
Rhode Island(10/11/2024)
RR
South Carolina(10/11/2024)
RR
South Dakota(10/11/2024)
RR
Tennessee(10/11/2024)
RR
Texas(10/11/2024)
RR
Utah(10/11/2024)
RR
Vermont(10/11/2024)
RR
Virgin Islands(10/11/2024)
RR
Virginia(10/11/2024)
RR
Washington(10/11/2024)
RR
West Virginia(10/11/2024)
RR
Wisconsin(10/11/2024)
RR
Wyoming(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
