Mark A. Totten
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 Totten 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 63, SIE, Series 7, Series 6 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
September 24, 2014 - February 10, 2023
EQUITABLE DISTRIBUTORS, LLC
January 8, 2014 - August 6, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 29, 2011 - February 21, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 30, 2001 - February 2, 2011
EQUITABLE DISTRIBUTORS, LLC
July 22, 1999 - June 6, 2001
COREBRIDGE CAPITAL SERVICES, INC.
June 15, 1998 - May 5, 1999
LPL FINANCIAL LLC
September 6, 1991 - April 1, 1998
KEYBANC CAPITAL MARKETS INC.
April 25, 1989 - November 14, 1990
KEYBANC CAPITAL MARKETS INC.
October 4, 1988 - October 26, 1988
B.C. CHRISTOPHER SECURITIES CO.
August 5, 1986 - October 13, 1988
DREXEL, DREW & DICKSEN SECURITIES, INC.
November 29, 1983 - June 9, 1986
BEACHWOOD INVESTMENTS, INC.
August 20, 1982 - January 10, 1984
WS GRIFFITH SECURITIES, INC.
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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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