Mark S. Yancey
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 Spencer Yancey was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 7 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
June 19, 2003 - July 8, 2016
METROPOLITAN WEST CAPITAL MANAGEMENT, LLC
January 2, 1997 - December 11, 1997
WELLS FARGO SECURITIES INC.
February 23, 1994 - September 19, 1995
J.P. MORGAN SECURITIES LLC
June 30, 1992 - September 21, 1992
MML INVESTORS SERVICES, LLC
March 21, 1990 - July 6, 1990
AELTUS CAPITAL, INC
August 22, 1985 - October 7, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 22, 1985 - December 21, 1989
AETNA FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
METROPOLITAN WEST CAPITAL MANAGEMENT, LLC
CRD#: 107469 / SEC#: 801-57001
Contact information
Red Flags
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