Mark H. Drucker
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 H A Drucker was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1995 - August 28, 1996
RFCA FINANCIAL SERVICES, INC.
February 15, 1995 - August 4, 1995
CALTON & ASSOCIATES, INC.
July 31, 1993 - January 31, 1995
CITIGROUP GLOBAL MARKETS INC.
October 22, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
December 17, 1985 - October 22, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
RFCA FINANCIAL SERVICES, INC.
CRD#: 16562 / SEC#: , 8-34157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETIREMENT CAPITAL CENTERS, INC. | STOCKHOLDER | |
| TRETIAK, ROBERT | PRESIDENT | 1416058 |
| TRETIAK, DEBORA LYNN | STOCKHOLDER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
