Mark R. Wozniak
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 Richard Wozniak, who also goes by Mark Richard Wazniak, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 6 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
April 26, 1996 - April 8, 1998
SPECTRUM INVESTMENT SERVICES, INC.
October 15, 1993 - February 21, 1995
VOYA FINANCIAL PARTNERS, LLC
April 27, 1993 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 31, 1989 - December 31, 1989
MUTUAL SERVICE CORPORATION
May 19, 1987 - March 24, 1993
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 14, 1985 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPECTRUM INVESTMENT SERVICES, INC.
CRD#: 36962 / SEC#: , 8-47557
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.
