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Marc James Waterman

Fidelity Brokerage Services LLC

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About Marc James Waterman

Marc Waterman is a financial professional with over 20 years of experience in the industry. Marc has held positions with Fidelity Brokerage Services LLC, National Financial Services LLC, MetLife Securities Inc., and Metropolitan Life Insurance Company. Currently, Marc is registered with Fidelity Brokerage Services LLC in Smithfield, Rhode Island. Marc has a Series 6, 7, 24, 63, and SIE licenses. Marc is a dedicated financial professional with the knowledge and experience to help clients achieve their financial goals.

Firm Information

Marc Waterman 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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Marc Waterman’s Registration & Firm History

RI

06/27/2013 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

RI

03/26/2007 - 07/02/2013

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

05/07/2004 - 12/06/2006

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

12/16/2002 - 08/29/2003

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

12/16/2002 - 08/29/2003

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/21/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/28/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/06/2004

Series 7 - General Securities Representative Examination

BC

Issued 12/14/2002

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 Marc James Waterman.
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