Mark D. Leavitt
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 David Leavitt, who also goes by Mark Leavitt, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2001 - April 30, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 26, 1994 - January 19, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 1989 - May 12, 1994
MORGAN STANLEY DW INC.
February 15, 1988 - March 4, 1988
LEHMAN BROTHERS INC.
January 18, 1988 - October 21, 1989
UBS FINANCIAL SERVICES INC.
May 6, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 26, 1984 - May 10, 1985
MORGAN STANLEY DW 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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
