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Mark Steven Sunderhuse

CRD# 1274864·Registered 1985 - 2018
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Steven Sunderhuse was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1985 - 2018. Mark had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

RED ROCKS CAPITAL LLC·CRD# 135117
RIA
Golden, CO
February 27, 2006 - January 29, 2018
BERGER DISTRIBUTORS LLC·CRD# 41436
BD
Denver, CO
January 25, 1999 - January 2, 2002
UBC INVESTMENT CORPORATION·CRD# 24229
BD
October 25, 1989 - February 8, 1991
BOETTCHER & COMPANY, INC.·CRD# 101
BD
August 21, 1985 - April 6, 1989

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Current Firm

RR
RED ROCKS CAPITAL LLC

RED ROCKS CAPITAL LLC | RED ROCKS CAPITAL PARTNERS

CRD#: 135117 / SEC#: 801-67832

Contact Information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone Number

(303) 679-8252

# of Employees

9

Documents

Latest Form ADV

Part 2 Brochures

RED ROCKS CAPITAL ADV PART 2A BROCHURE_3.26.19 (3/31/2022)

Regulatory Assets Under Management

Total Number of Accounts

2

AUM (Assets Under Management)

$125,643,754

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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