Mark S. Brody

FINANCIAL PLANNING ANALYSTS

Melville, NY 11747

Some features on this profile are disabled

CRD#: 1475753

Professional summary

Mark Stewart Brody is a registered financial advisor currently at FINANCIAL PLANNING ANALYSTS, LLC located in Melville, New York and PLANNED FINANCIAL PROGRAMS, INC. located in Melville, New York.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. FINANCIAL PLANNING ANALYSTS, LLC 734 WALT WHITMAN ROAD STE 301 MELVILLE, NY 11747 - STARTED JAN. 2002. INVESTMENT RELATED BUSINESS. 120 HOURS/MONTH. MANAGING MEMBER, PORTFOLIO CONSTRUCTION. 2. UNITY BANCORP CLINTON, NEW JERSEY. STARTED FEB. 2002. NON-INVESTMENT RELATED. 20 HOURS/MONTH. DIRECTOR. 3. FINRA, NY,NY. STARTED APPROXIMATELY 1992. NON-INVESTMENT RELATED. <5 HOURS/MONTH. ARBITRATOR. 4.NESTEGG BUILDERS HOPEWELL JUNCTION, NY. STARTED 2005. INVESTMENT RELATED. <5 HOURS/MONTH. LIFE AND ANNUITY AGENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stewart Brody's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 9, 2021 - Present

FINANCIAL PLANNING ANALYSTS, LLC

Office #1: 734 Walt Whitman Rd Ste 301, Melville, NY 11747

RIA

CRD#: 121338

Melville, NY

Current

August 1, 1990 - Present

PLANNED FINANCIAL PROGRAMS, INC.

Office #1: 734 Walt Whitman Road Suite 301, Melville, NY 11747Office #2: 734 Walt Whitman Road, Melville, NY 11747-2216

CRD#: 3049

Melville, NY

Past

March 29, 2021 - April 30, 2021

FINANCIAL PLANNING ANALYSTS, LLC

RIA

CRD#: 121338

Melville, NY

Past

May 5, 1986 - July 13, 1990

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(4/5/2004)

New Jersey
(5/24/2004)

New York
(8/1/1990)

IAR

New York
(8/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 51

Date: 3/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL PLANNING ANALYSTS, LLC

CRD#: 121338 / SEC#: 801-61351

RIA

Registered Investment Advisory firm - (4/30/2021 Terminated)

New York

Registered Investment Advisory firm - (8/9/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

734 Walt Whitman Rd Ste 301, Melville, NY 11747

Mailing Address

Phone number

(631) 423-8800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 25,670,814

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.

Similar Advisors

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark S. Brody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stewart Brody's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANNED FINANCIAL PROGRAMS, INC.

FINANCIAL PLANNING ANALYSTS, LLC

WS GRIFFITH SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1986

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 14

Date: 1/2/2023

Series 51

Date: 3/28/2003

Series 24

Date: 5/21/1990

FINRA

Current Firm

FINANCIAL PLANNING ANALYSTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLANNING ANALYSTS, LLC

TRUST BUT VERIFY

Similar Advisors