Mark A. Mushkat
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 Alan Mushkat was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2010 - November 12, 2013
GFO ADVISORY SERVICES, LLC
October 17, 2008 - April 30, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
February 22, 2007 - April 30, 2009
BMO FAMILY OFFICE, LLC
December 15, 2005 - November 2, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
December 15, 2005 - April 9, 2007
BMO HARRIS FINANCIAL ADVISORS, INC.
November 1, 2002 - December 31, 2005
HARRISDIRECT LLC
November 1, 2002 - December 31, 2005
HARRISDIRECT LLC
October 16, 2002 - October 17, 2002
MYCFO SECURITIES, LLC
May 6, 1998 - May 30, 2002
CITICORP INVESTMENT SERVICES
August 11, 1997 - April 20, 1998
UAM FUND DISTRIBUTORS, INC.
February 15, 1994 - September 29, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - June 19, 1990
LEHMAN BROTHERS INC.
April 29, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
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
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 290,648,483 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/26/2025 | ||
| 03/07/2024 | ||
| 04/17/2023 |
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.
