MD
Mark S. Doroff
SPC
Northbrook, IL 60062
Some features on this profile are disabled
CRD#: 1147626
MD
Professional summary
Mark Stuart Doroff, AIF® is a registered financial advisor currently at SPC located in Northbrook, Illinois and SIGMA FINANCIAL CORPORATION located in Northbrook, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. DBA - DAVID STUART FINANCIAL; NOT INVESTMENT RELATED; 899 SKOKIE BLVD., #306, NORTHBROOK, IL 60062; Insurance sales and renewals - Life and LONG TERM CARE; OWNER; BEGAN APRIL 1986; 1-2 hrs/mo.
2. DAVID STUART FINANCIAL; NOT INVESTMENT RELATED; 899 SKOKIE BLVD., #306, NORTHBROOK, IL, 60062; INCOME TAX RETURN Preparation; OWNER; BEGAN APRIL 1986; 10-12 HRS/MO WITH 2 DURING TRADING.
3. As an independently licensed insurance agent, I am appointed with various insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Stuart Doroff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 8, 2017 - Present
SPC
Office #1: 899 Skokie Blvd #306, Northbrook, IL 60062RIA
CRD#: 110692
Northbrook, IL
Current
August 8, 2017 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 899 Skokie Blvd. # 306, Northbrook, IL 60062BD
CRD#: 14303
Northbrook, IL
Past
September 1, 2016 - August 9, 2017
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
NORTHBROOK, IL
Past
September 1, 2016 - August 9, 2017
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
NORTHBROOK, IL
Past
January 24, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
NORTHBROOK, IL
Past
February 5, 1998 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
NORTHBROOK, IL
Past
April 1, 1986 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
NORTHBROOK, IL
Past
July 21, 1983 - April 8, 1986
SECURITIES RESOLUTION CORPORATION
BD
CRD#: 7119
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/8/2017)
RR
District of Columbia(7/12/2019)
RR
Florida(8/8/2017)
RR
Illinois(8/8/2017)
IAR
Illinois(8/8/2017)
RR
Louisiana(6/27/2022)
RR
Michigan(2/13/2025)
RR
Ohio(1/8/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
