Mark A. Carrozza
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 Anthony Carrozza, who also goes by Mark A Carrozza, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2016 - August 10, 2022
FNEX CAPITAL, LLC
March 10, 2010 - August 9, 2016
TRANSAMERICA CAPITAL, LLC
June 30, 2009 - October 15, 2009
MML INVESTORS SERVICES, LLC
August 28, 2007 - October 15, 2009
MML DISTRIBUTORS, LLC
September 10, 2002 - August 6, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 26, 2001 - June 26, 2002
BOSTON MERCHANT FINANCIAL SERVICES, INC.
February 28, 2000 - May 22, 2000
TD AMERITRADE, 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
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
