Individual Firm
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MARCO FRANZELLA
MARCO B FRANZELLA
CRD#: 5697004
IA
B
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1130 FRANKLIN AVENUE
GARDEN CITY, NY 11530-1687
GARDEN CITY, NY 11530-1687
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 ROCKVILLE CENTRE, NY
View By:
3/25/2016
Customer Dispute
Denied
State Registrations
B
California 10/3/2023
B
New Jersey 10/3/2023
B
Connecticut 10/3/2023
B
New York 9/21/2023
B
Florida 10/3/2023
IA
New York 10/25/2023
B
Georgia 10/3/2023
B
South Carolina 6/4/2024
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/25/2023
B
Registered with this firm since 9/21/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/19/2018 - 09/19/2023 | MINEOLA, NY | |
B | 05/11/2018 - 09/19/2023 | MINEOLA, NY | |
B | 03/25/2017 - 05/08/2018 | HAUPPAUGE, NY | |
B | 02/21/2011 - 03/25/2017 | HAUPPAUGE, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.