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Mark Stephen Buciak

CRD# 1394350·Registered 1985 - 2019
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Stephen Buciak, who also goes by Mark C Buciak, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1985 - 2019. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark C Buciak

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

M B FINANCIAL SERVICES·CRD# 42542
BD
Newington, CT
April 22, 1997 - February 21, 2019
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
BD
Waltham, MA
October 3, 1994 - August 31, 1995
BUELL SECURITIES CORP.·CRD# 1342
BD
Glastonbury, CT
August 11, 1993 - September 28, 1993
G. R. PHELPS & CO., INC.·CRD# 173
BD
September 17, 1991 - January 14, 1993
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
BD
Waltham, MA
April 19, 1991 - June 11, 1991
ADVEST, INC.·CRD# 10
BD
Hartford, CT
July 19, 1989 - January 24, 1991
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
August 20, 1985 - July 20, 1989

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Current Firm

MB
M B FINANCIAL SERVICES

BUCIAK, MARK STEPHEN | M B FINANCIAL SERVICES

CRD#: 42542 / SEC#: 8-49875
BD
Terminated by SEC on 02/19/2018

Contact Information

Established

Connecticut since 05/28/1996

Firm Type

Sole Proprietorship

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BUCIAK, MARK STEPHENPRINCIPAL1394350
BUCIAK, MARK STEPHENCHIEF COMPLIANCE OFFICER1394350
BUCIAK, MARK STEPHENPRINCIPAL OPPERATIONS OFFICER1394350
BUCIAK, MARK STEPHENPRINCIPAL FINANCIAL OFFICER1394350

Disclosures

Regulatory Event

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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