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Joseph Carluen Marmol

Fidelity Brokerage Services LLC

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About Joseph Carluen Marmol

Joseph Carluen Marmol is a financial advisor with Fidelity Brokerage Services LLC. Joseph has been in the industry since 2008 and holds Series 6, 7, and 63 licenses as well as the SIE and Series 65 exams. Joseph has experience with a variety of firms including SS&C Market Services, LLC, ICMA-RC Services, LLC, Stifel, Nicolaus & Company, Incorporated, and John Hancock Funds, LLC. Joseph is registered to conduct business in all 50 states.

Firm Information

Joseph Marmol is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Joseph Marmol’s Registration & Firm History

RI

05/02/2023 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

MA

03/24/2021 - 03/24/2023

SS&C MARKET SERVICES, LLC (BOSTON MA)

DC

03/07/2016 - 10/01/2020

ICMA-RC SERVICES, LLC (WASHINGTON DC)

DC

12/09/2013 - 09/09/2015

FIDELITY BROKERAGE SERVICES LLC (WASHINGTON DC)

MA

09/13/2011 - 10/31/2013

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BOSTON MA)

MA

07/16/2010 - 09/07/2011

JOHN HANCOCK FUNDS, LLC (BOSTON MA)

IL

09/22/2008 - 07/23/2010

BARCLAYS CAPITAL INC. (CHICAGO IL)

IL

06/20/2008 - 09/22/2008

LEHMAN BROTHERS INC. (CHICAGO IL)

MA

12/12/2005 - 11/28/2006

MMC SECURITIES CORP. (NORWOOD MA)

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Licenses & Designations

IA

Issued 03/31/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/11/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/10/2008

Series 7 - General Securities Representative Examination

BC

Issued 12/10/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph Carluen Marmol.
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