Mark J. Unterbach
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 Jay Unterbach, who also goes by Mark J Unterbach, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 8 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1994 - July 5, 1994
FIRST INTERSTATE INVESTMENTS,INC.
February 10, 1992 - April 16, 1992
MARKETING ONE SECURITIES, INC.
October 23, 1990 - August 6, 1991
SCHONFELD SECURITIES, LLC
November 14, 1988 - October 19, 1990
UBS FINANCIAL SERVICES INC.
August 10, 1988 - October 24, 1988
INVEST FINANCIAL CORPORATION
August 13, 1986 - November 16, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
March 19, 1985 - September 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1984 - January 28, 1985
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INTERSTATE INVESTMENTS,INC.
CRD#: 17101 / SEC#: , 8-35039
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
