Mark S. Taffet

SPP CAPITAL PARTNERS L L C

New York, NY 10036

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CRD#: 1232630

Professional summary

Mark Steven Taffet is a registered financial professional currently at SPP CAPITAL PARTNERS L L C located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 79TO, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Steven Taffet'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®

None

Experience

Current

November 11, 2019 - Present

SPP CAPITAL PARTNERS L L C

Office #1: 550 Fifth Avenue 12th. Floor, New York, NY 10036

CRD#: 38103

New York, NY

Past

March 12, 1998 - July 2, 2002

AURIA SERVICES CORP.

CRD#: 27851

NEW YORK, NY

Past

July 16, 1997 - September 15, 1998

FIELDSTONE PRIVATE CAPITAL GROUP, L.P.

CRD#: 28111

NEW YORK, NY

Past

August 28, 1995 - January 21, 1997

KPMG BAYMARK CAPITAL L.L.C.

CRD#: 38163

Past

January 25, 1984 - June 1, 1984

CIBC WORLD MARKETS CORP.

CRD#: 630

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/11/2019)

Connecticut
(11/11/2019)

Florida
(11/11/2019)

Louisiana
(11/11/2019)

New Jersey
(11/11/2019)

New York
(11/11/2019)

Ohio
(11/11/2019)

Texas
(11/11/2019)

Vermont
(11/11/2019)

Virginia
(11/11/2019)

Exams

State Security Law Exam

Series 63

Date: 9/25/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79TO

Date: 6/18/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 4/10/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SPP CAPITAL PARTNERS L L C

SPP CAPITAL PARTNERS L L C | SPP MEZZANINE | SPP HAMBRO & CO., LLC | SPP CAPITAL PARTNERS, LLC

CRD#: 38103 / SEC#: , 8-48093

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

550 Fifth Avenue 12th Floor, New York, NY 10036

Mailing Address

550 Fifth Avenue 12th Floor, New York, NY 10036

Phone number

(212) 455-4500

Established

Delaware since 08/21/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SPP HOLDINGS, LLC	MEMBER
BUSCH, ROBIN ELLIS	MANAGING PARTNER	2082719
LAZARUS, AMY SUE	CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER AND FINOP	1498788
SHAFFER, STEFAN L	MANAGING PARTNER	1498973

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark S. Taffet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Steven Taffet's CRS (Customer Relationship Summary).

Certified licenses

Experience

AURIA SERVICES CORP.

FIELDSTONE PRIVATE CAPITAL GROUP, L.P.

KPMG BAYMARK CAPITAL L.L.C.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/2019

SIE

Date: 11/11/2019

Series 79TO

Date: 6/18/2019

Series 7

Date: 4/10/1995

Series 24

Date: 4/19/1995

FINRA

Current Firm

SPP CAPITAL PARTNERS L L C

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SPP CAPITAL PARTNERS L L C

TRUST BUT VERIFY

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