Mark R. Fetting
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 Raymond Fetting was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 5 firms and has passed the Series 63, Series 6, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - April 4, 2012
FRANKLIN DISTRIBUTORS, LLC
June 15, 2000 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 1, 1997 - June 30, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 12, 1993 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
December 17, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 24, 1981 - January 30, 1987
T. ROWE PRICE INVESTMENT SERVICES, 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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
