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Mark Darren Morrow

CRD# 1708880·Registered 1988 - 2012
Barred: Mark Darren Morrow was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mark Darren Morrow, who also goes by Mark Morrow, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1988 - 2012. Mark had worked at 4 firms and has passed the Series 63, Series 7, Series 24, Series 8 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Morrow

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

LANDMARK INVESTMENT GROUP, INC·CRD# 44602
BD
Cheektowaga, NY
December 2, 1998 - October 26, 2012
TRADESTATION SECURITIES, INC.·CRD# 39473
BD
Plantation, FL
April 28, 1997 - August 11, 1997
SMH CAPITAL INVESTMENTS LLC·CRD# 24535
BD
Ft. Worth, TX
May 8, 1996 - August 19, 1996
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Detroit, MI
January 20, 1988 - February 16, 1996

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Current Firm

LI
LANDMARK INVESTMENT GROUP, INC

LANDMARK INVESTMENT GROUP, INC | SUMMIT CAPITAL TRADING, INC. | SUMMIT CAPITAL TRADING | SUMMIT CAPITAL INVESTMENT GROUP INC.

CRD#: 44602 / SEC#: 8-50746
BD
Cancelled by SEC on 08/12/2014

Contact Information

Established

Ohio since 04/20/1997

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SUMMIT CAPITAL HOLDINGSOWNER—
MORROW, MARK DARRENPRINCIPAL/CEO/CCO1708880

Disclosures

Regulatory Event

2

Judgment/Lien

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1994About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Aug 1992

Series 4 — Registered Options Principal Examination

Passed Jun 1992About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MM
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