Mark S. Fineberg
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 Steven Fineberg was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 3 firms and has passed the Series 63, Series 65 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
September 25, 2006 - November 6, 2006
INVESTORS CAPITAL CORP.
September 23, 2005 - September 28, 2006
IWP INVESTMENTS, LLC
August 18, 2005 - October 6, 2005
NYLIFE SECURITIES LLC
June 2, 2005 - June 24, 2005
IWP INVESTMENTS, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
