Mark T. Behrman
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 Todd Behrman, who also goes by Mark T Behrman, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 8 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2007 - February 28, 2014
STERNE, AGEE & LEACH, INC.
March 9, 2005 - August 28, 2007
NEWOAK CAPITAL MARKETS LLC
March 7, 1996 - August 6, 2001
TRADE.COM ONLINE SECURITIES, INC.
May 22, 1992 - October 4, 1995
COMMONWEALTH ASSOCIATES
February 28, 1991 - December 10, 1991
FUNDAMENTAL CORPORATE BOND BROKERS
February 28, 1991 - December 11, 1991
FUNDAMENTAL BROKERS
January 9, 1991 - February 28, 1991
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
January 9, 1991 - February 28, 1991
FUNDAMENTAL BROKERS
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
