MA
Mark J. Arruda
FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 4558750
MA
Professional summary
Mark J Arruda, who also goes by Mark J Arruda, Mark John Arruda, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2002. Mark has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark J Arruda | Mark John Arruda
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 J Arruda'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 13, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 7784
Smithfield, RI
Past
May 5, 2021 - August 23, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
August 4, 2020 - September 9, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CRANSTON, RI
Past
February 18, 2020 - July 30, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
MIDDLETOWN, RI
Past
January 2, 2019 - January 3, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Dorchester, MA
Past
November 9, 2009 - December 17, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
January 31, 2007 - March 12, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LINCOLN, RI
Past
August 29, 2003 - January 17, 2007
SCOTTRADE, INC.
BD
CRD#: 8206
PROVIDENCE, RI
Past
July 9, 2003 - August 22, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 13, 2003 - June 10, 2003
WINCHESTER INVESTMENT SECURITIES, INC.
BD
CRD#: 28543
OVERLAND PARK, KS
Past
November 18, 2002 - January 16, 2003
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
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(11/9/2021)
RR
Alaska(11/9/2021)
RR
Arizona(11/9/2021)
RR
Arkansas(11/9/2021)
RR
California(11/9/2021)
RR
Colorado(11/9/2021)
RR
Connecticut(11/9/2021)
RR
Delaware(11/9/2021)
RR
District of Columbia(11/9/2021)
RR
Florida(11/9/2021)
RR
Georgia(11/9/2021)
RR
Hawaii(11/9/2021)
RR
Idaho(11/9/2021)
RR
Illinois(11/9/2021)
RR
Indiana(11/9/2021)
RR
Iowa(11/9/2021)
RR
Kansas(11/9/2021)
RR
Kentucky(11/9/2021)
RR
Louisiana(11/9/2021)
RR
Maine(11/9/2021)
RR
Maryland(11/9/2021)
RR
Massachusetts(11/9/2021)
RR
Michigan(11/9/2021)
RR
Minnesota(11/9/2021)
RR
Mississippi(11/9/2021)
RR
Missouri(11/9/2021)
RR
Montana(11/9/2021)
RR
Nebraska(11/9/2021)
RR
Nevada(11/9/2021)
RR
New Hampshire(11/9/2021)
RR
New Jersey(11/9/2021)
RR
New Mexico(11/9/2021)
RR
New York(11/9/2021)
RR
North Carolina(11/9/2021)
RR
North Dakota(11/9/2021)
RR
Ohio(11/10/2021)
RR
Oklahoma(11/9/2021)
RR
Oregon(11/9/2021)
RR
Pennsylvania(11/9/2021)
RR
Puerto Rico(11/9/2021)
RR
Rhode Island(10/13/2021)
RR
South Carolina(11/9/2021)
RR
South Dakota(11/9/2021)
RR
Tennessee(11/9/2021)
RR
Texas(11/9/2021)
RR
Utah(11/9/2021)
RR
Vermont(11/9/2021)
RR
Virgin Islands(11/9/2021)
RR
Virginia(11/9/2021)
RR
Washington(11/9/2021)
RR
West Virginia(11/9/2021)
RR
Wisconsin(11/9/2021)
RR
Wyoming(11/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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 BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
Monitor Mark Arruda
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
