Mark D. Stevens
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 David Stevens was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 28, Series 4, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1994 - November 20, 2000
SOUTHWICK INVESTMENTS, INC.
October 8, 1992 - March 4, 1994
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
October 23, 1991 - August 10, 1992
BELLE HAVEN INVESTMENTS, L.P.
September 22, 1988 - October 23, 1991
HOLCOMB, STEVENS SECURITIES, INC
February 5, 1987 - September 29, 1988
DB ALEX. BROWN LLC
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
Series 28
Date: 1/20/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SOUTHWICK INVESTMENTS, INC.
CRD#: 36127 / SEC#: , 8-47020
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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