Mark J. Pruss
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 James Pruss was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 5 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
February 22, 1994 - January 14, 1995
FOUNDATION INVESTORS SECURITIES CORP.
November 17, 1992 - February 25, 1994
CETERA WEALTH SERVICES, LLC
May 11, 1992 - November 11, 1992
USLIFE EQUITY SALES CORP.
October 23, 1991 - April 16, 1992
PLANNED INVESTMENTS INC.
October 26, 1984 - November 16, 1990
PFS INVESTMENTS INC.
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
FOUNDATION INVESTORS SECURITIES CORP.
CRD#: 35541 / SEC#: , 8-46740
Contact information
Documents
Red Flags
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.
