Mark E. Regnier
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 Edward Regnier was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - March 20, 2013
QUESTAR CAPITAL CORPORATION
October 20, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
May 8, 2002 - August 6, 2002
IDS LIFE INSURANCE COMPANY
May 8, 2002 - October 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 2001 - April 29, 2002
SLD AMERICA EQUITIES, INC.
October 4, 2001 - April 29, 2002
VOYA FINANCIAL ADVISORS, INC.
November 21, 1995 - September 27, 2001
WOODBURY FINANCIAL SERVICES, INC.
March 7, 1995 - October 25, 1995
DAIN RAUSCHER INCORPORATED
February 1, 1995 - March 1, 1995
SCHNEIDER SECURITIES, INC.
April 22, 1994 - January 30, 1995
PAULSON INVESTMENT COMPANY LLC
April 16, 1993 - May 4, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
September 29, 1989 - March 10, 1993
LEHMAN BROTHERS INC.
September 18, 1989 - October 3, 1989
HAYNE, MILLER FINANCIAL, INC.
March 22, 1989 - September 18, 1989
HAYNE, MILLER & SWEARINGEN, INC.
September 20, 1988 - February 17, 1989
VAN CLEMENS & CO. INCORPORATED
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
