Mark A. Sager
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 Sager was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 9 firms and has passed the Series 63, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2000 - May 24, 2000
QUESTAR CAPITAL CORPORATION
November 14, 1994 - February 2, 2000
SECURITIES AMERICA, INC.
April 8, 1988 - November 21, 1994
NYLIFE SECURITIES LLC
March 18, 1986 - February 23, 1988
FIRST FINANCIAL MONETARY SYSTEMS, INC.
August 28, 1985 - January 1, 1986
MARINER FINANCIAL SERVICES, INC.
May 17, 1985 - September 11, 1985
MUTUAL SERVICE CORPORATION
April 25, 1984 - June 6, 1985
SIGNATOR INVESTORS, INC.
September 9, 1983 - March 30, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 9, 1983 - March 30, 1984
EQUITABLE ADVISORS, LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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