Mark Macchia
Professional Summary
Mark Macchia was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1999 - 2008. Mark had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
DOMINION SECURITIES AMES INC. | RBC DOMINION SECURITIES CORPORATION | RBC CAPITAL MARKETS CORPORATION | RBC CAPITAL MARKETS | DOMINION SECURITIES PITFIELD INC. | DOMINION SECURITIES INC. | DOMINION SECURITIES CORPORATION
Contact Information
Established
New York since 04/16/1929Firm Type
CorporationFiscal Year End
OctoberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | 100% OWNER | — |
| BURKE, ARGYLE IAN | DIRECTOR OF HUMAN RESOURCES (NVBOD) | 4528701 |
| CHASE, RICHARD TROY | MD/GENERAL COUNSEL/SROP/ | 2949113 |
| COMMANDER, MARK THOMAS | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | 1082296 |
| DONOVAN, THOMAS BRYAN | CHIEF OPERATIONS OFFICER | 860963 |
| DORP, DIETER ALFONS | DIRECTOR (BOD) | 4355241 |
| GOTTLIEB, PAUL MITCHEL | CHIEF OPERATING OFFICER | 1691382 |
| MACDONALD, DONALD BRUCE | CHAIRMAN(BOD) | 2595575 |
| MORIARTY, WILLIAM WALLACE | DIRECTOR (BOD) | 2588339 |
| NORRIS, MICHAEL JOHN | NON-EMPLOYEE (BOD) | 4441443 |
| PAVERMAN, MARK ELLIOT | CROP | 1046105 |
| RICHARDS, DAVID ALBERT | NON EMPLOYEE (BOD) | 4441445 |
| SANCHEZ, R PETER | HEAD OF GLOBAL OPERATIONS, MANAGING DIRECTOR | 2418424 |
| SCACE, ANDREW GUILD | NON EMPLOYEE (BOD) | 2430826 |
| STANDISH, MARK ALLAN | PRESIDENT & CEO(BOD) | 2223303 |
| WINOGRAD, CHARLES MARTIN | NON EMPLOYEE (BOD) | 4443747 |
Disclosures
Regulatory Event
18Bond
1Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC