SM
Seth S. Marks
FIDELITY DISTRIBUTORS COMPANY LLC
Boston, MA 02210
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CRD#: 4454994
SM
Professional summary
Seth Stephen Marks, who also goes by Seth Stephen Marks, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Boston, Massachusetts.
Seth is registered as a RR (Registered Representative) and started their career in finance in 2001. Seth has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Seth Stephen Marks
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 Seth Stephen Marks'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
August 4, 2010 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 245 Summer Street, Boston, MA 02210BD
CRD#: 17507
Boston, MA
Past
January 5, 2007 - June 11, 2010
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
November 29, 2006 - June 11, 2010
NUVEEN SECURITIES, LLC
BD
CRD#: 469
IRVINE, CA
Past
August 21, 2003 - October 31, 2006
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
August 21, 2003 - October 31, 2006
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SAN FRANCISCO, CA
Past
May 8, 2003 - July 24, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SACRAMENTO, CA
Past
March 7, 2002 - July 24, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 13, 2001 - February 4, 2002
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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(8/4/2010)
RR
Alaska(8/4/2010)
RR
Arizona(8/4/2010)
RR
Arkansas(8/4/2010)
RR
California(8/4/2010)
RR
Colorado(8/4/2010)
RR
Connecticut(8/4/2010)
RR
Delaware(8/4/2010)
RR
District of Columbia(8/4/2010)
RR
Florida(8/4/2010)
RR
Georgia(8/4/2010)
RR
Hawaii(8/4/2010)
RR
Idaho(8/4/2010)
RR
Illinois(8/4/2010)
RR
Indiana(8/4/2010)
RR
Iowa(8/4/2010)
RR
Kansas(8/4/2010)
RR
Kentucky(8/4/2010)
RR
Louisiana(8/4/2010)
RR
Maine(8/4/2010)
RR
Maryland(8/4/2010)
RR
Massachusetts(8/4/2010)
RR
Michigan(8/4/2010)
RR
Minnesota(8/4/2010)
RR
Mississippi(8/4/2010)
RR
Missouri(8/4/2010)
RR
Montana(8/4/2010)
RR
Nebraska(8/4/2010)
RR
Nevada(8/4/2010)
RR
New Hampshire(8/4/2010)
RR
New Jersey(8/4/2010)
RR
New Mexico(8/4/2010)
RR
New York(8/4/2010)
RR
North Carolina(8/4/2010)
RR
North Dakota(8/4/2010)
RR
Ohio(8/4/2010)
RR
Oklahoma(8/4/2010)
RR
Oregon(8/4/2010)
RR
Pennsylvania(8/4/2010)
RR
Puerto Rico(8/4/2010)
RR
Rhode Island(8/4/2010)
RR
South Carolina(8/4/2010)
RR
South Dakota(8/4/2010)
RR
Tennessee(8/4/2010)
RR
Texas(8/4/2010)
RR
Utah(8/4/2010)
RR
Vermont(8/4/2010)
RR
Virginia(8/4/2010)
RR
Washington(8/4/2010)
RR
West Virginia(8/4/2010)
RR
Wisconsin(8/4/2010)
RR
Wyoming(8/4/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507Boston, MA 02210TRUST BUT VERIFY
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