Mark S. Blumberg

BLUMBERG B+V ADVISORS

Rye, NY

Some features on this profile are disabled

CRD#: 1571337

Professional summary

Mark Samuel Blumberg is a registered financial advisor currently at BLUMBERG B+V ADVISORS, LLC located in Rye, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Samuel Blumberg'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 20, 2013 - Present

BLUMBERG B+V ADVISORS, LLC

RIA

CRD#: 162654

Rye, NY

Past

January 2, 2008 - April 6, 2010

NEWEDGE USA, LLC

CRD#: 36118

NEW YORK, NY

Past

November 29, 2005 - September 1, 2008

NEWEDGE FINANCIAL INC.

CRD#: 27322

NEW YORK, NY

Past

June 16, 1994 - October 31, 2005

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

September 23, 1988 - April 15, 1991

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

August 3, 1987 - April 15, 1991

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

January 9, 1987 - April 15, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Michigan
(8/20/2013)

IAR

New York
(10/7/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/12/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Current Firm

BLUMBERG B+V ADVISORS, LLC

CRD#: 162654 / SEC#:

Michigan

Registered Investment Advisory firm - (8/19/2013 Approved)

New York

Registered Investment Advisory firm - (5/30/2012 Approved)

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

Rye, NY

Mailing Address

Phone number

(914) 282-0941

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 18,755,064

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark S. Blumberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Samuel Blumberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE USA, LLC

NEWEDGE FINANCIAL INC.

REFCO SECURITIES, LLC

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/2012

Series 63

Date: 12/18/1986

Series 3

Date: 2/12/1987

Series 7

Date: 10/18/1986

Current Firm

BLUMBERG B+V ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUMBERG B+V ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors