Joseph C. Marmol
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.
Joseph Carluen Marmol, who also goes by Joseph C Marmol, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2023 - September 4, 2024
FIDELITY BROKERAGE SERVICES LLC
March 24, 2021 - March 24, 2023
SS&C MARKET SERVICES, LLC
March 7, 2016 - October 1, 2020
MISSIONSQUARE RETIREMENT
March 7, 2016 - October 1, 2020
MISSIONSQUARE INVESTMENT SERVICES
February 20, 2014 - September 10, 2015
STRATEGIC ADVISERS LLC
December 9, 2013 - September 9, 2015
FIDELITY BROKERAGE SERVICES LLC
September 13, 2011 - October 31, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 13, 2011 - October 31, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 16, 2010 - September 7, 2011
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 3, 2009 - July 23, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - July 23, 2010
BARCLAYS CAPITAL INC.
June 23, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
June 20, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
December 12, 2005 - November 28, 2006
MMC SECURITIES LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
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.
