Mark F. Vassallo
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 Francis Vassallo was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 3 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2013 - December 31, 2016
LIGHTYEAR CAPITAL LLC
June 9, 2000 - June 20, 2002
J.C. BRADFORD & CO.
October 26, 1984 - October 23, 2003
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
LIGHTYEAR CAPITAL LLC
CRD#: 156781 / SEC#: 801-73702
State Registrations and Notice Filings
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Exams
Current Firm
LIGHTYEAR CAPITAL LLC
CRD#: 156781 / SEC#: 801-73702
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 7,198,539,301 |
Red Flags
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