Mark V. Sanfilippo
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 Vincent Sanfilippo was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1985. Mark had worked at 11 firms and has passed the Series 63 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
July 2, 2002 - November 5, 2003
SAFE HARBOR RETIREMENT PLANNERS
January 10, 2000 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
January 10, 2000 - September 9, 2003
ONEAMERICA SECURITIES, INC.
July 9, 1999 - January 10, 2000
GROVE POINT INVESTMENTS, LLC
November 17, 1994 - July 12, 1999
OSAIC FS, INC.
May 29, 1991 - November 23, 1994
GUARDIAN INVESTOR SERVICES LLC
November 28, 1989 - May 3, 1991
HORNOR, TOWNSEND & KENT, LLC
March 9, 1989 - July 12, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 9, 1989 - July 12, 1989
PRUCO SECURITIES, LLC.
March 24, 1988 - January 1, 1989
ATLANTIC SECURITIES, INC.
February 19, 1988 - April 5, 1988
SIGNATOR FINANCIAL SERVICES, INC.
October 13, 1987 - February 4, 1988
ATLANTIC SECURITIES, INC.
January 9, 1985 - July 21, 1987
PRUCO SECURITIES, 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
SAFE HARBOR RETIREMENT PLANNERS
CRD#: 110803 / SEC#: 801-58249
Contact information
Regulatory assets under management
| Total Number of Accounts | 603 |
| AUM (Assets Under Management) | $ 93,211,033 |
Red Flags
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