MW
Mark S. Waskow
LIFEMARK SECURITIES
Barre, VT
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CRD#: 1518572
MW
Professional summary
Mark S Waskow is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Barre, Vermont.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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.
DBA: THE WASKOW GROUP AND TWG CONSULTING GROUP - 71 Orange St., PO BOX 648, BARRE, VT 05641/ same address for Bookkeeping & Paralegal services. 1. THE WASKOW GROUP; INVESTMENT RELATED; OWNER & independent insurance agent; 30 HOURS PER WEEK; START DATE: 4/1987; SALES AND SERVICES OF INSURANCE, employee benefits design/ 2. TWG Consulting Group, OWNER, NON-INVESTMENT RELATED, marketing and sales consulting of a non financial nature coaching & idea generation, 10-15 HOURS PER WEEK, START DATE, 10/1992/ 3. BOOKKEEPING FOR RETAIL CLIENTS- not investment related, administrative and non fiduciary./START DATE, 4/2007 4. Paralegal services, not investment related, administrative and research/START DATE, 10/2007 5. President - Northern New England Museum of Contemporary Art, not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Mark S Waskow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark S Waskow'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®
NoneExperience
Current
November 1, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Barre, VT
Current
October 31, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Barre, VT
Past
June 5, 2015 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
BURLINGTON, VT
Past
April 6, 2015 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
BURLINGTON, VT
Past
June 1, 2006 - May 31, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BARRE, VT
Past
May 30, 1996 - September 1, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
July 10, 1986 - May 28, 1996
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
RR
District of Columbia(11/7/2024)
RR
Massachusetts(11/4/2025)
RR
New Hampshire(10/31/2018)
RR
New York(10/31/2018)
RR
Vermont(11/1/2018)
IAR
Vermont(11/1/2018)
RR
Virginia(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
