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Mark McRoy
Mark Brian McRoy
CRD#: 5866483
IA
B
MUTUAL OF OMAHA INVESTOR SERVICES, INC.CRD#: 611 4005 ELECTRIC RD
3 Floor
ROANOKE, VA 24018
3 Floor
ROANOKE, VA 24018
0
Disclosures
8
Years of Experience
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State Registrations
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New Jersey 2/2/2021
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Virginia 9/10/2021
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Virginia 11/17/2020
SRO Registrations
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Registered with this firm since 9/10/2021
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Registered with this firm since 11/17/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/01/2020 - 08/18/2020 | Roanoke, VA | |
B | 09/25/2018 - 04/27/2020 | VINTON, VA | |
B | 02/04/2013 - 10/22/2015 | ROANOKE, VA |
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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.
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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.