Mark C. Healy

Some features on this profile are disabled

CRD#: 1874344

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 Christopher Healy, who also goes by Mark C Healy, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark C Healy

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)

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

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

Past

March 23, 2020 - October 7, 2024

IQVESTMENT, LLC

RIA

CRD#: 157514

Woburn, MA

Past

April 4, 2017 - July 1, 2024

ADVISORY SERVICES NETWORK

RIA

CRD#: 146051

Savannah, GA

Past

September 19, 2011 - July 31, 2015

AST INVESTOR SERVICES LLC

CRD#: 155050

BROOKLYN, NY

Past

August 7, 2003 - August 14, 2006

CORRESPONDENT SERVICES CORPORATION

CRD#: 25927

BOSTON, MA

Past

August 4, 2003 - October 30, 2009

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

June 30, 2003 - August 7, 2003

CORRESPONDENT SERVICES CORPORATION

CRD#: 25927

NEW YORK, NY

Past

July 24, 2002 - August 4, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 19, 1996 - May 13, 2002

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

March 9, 1993 - November 27, 1995

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

August 14, 1989 - June 12, 1991

SANWA SECURITIES (USA) CO., L.P.

CRD#: 19697

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IQVESTMENT, LLC

CRD#: 157514 / SEC#: 801-79638

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Massachusetts

Registered Investment Advisory firm - (2/13/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/16/1996

Financial and Operations Principal Examination

Current Firm

IQVESTMENT, LLC

CRD#: 157514 / SEC#: 801-79638

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Massachusetts

Registered Investment Advisory firm - (2/13/2018 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Charlotte, NC

Mailing Address

Phone number

(877) 486-4702

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (3/5/2026)

Regulatory assets under management

Total Number of Accounts	237
AUM (Assets Under Management)	$ 22,310,201

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

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Steven Barnes

BARNES WEALTH MANAGEMENT GROUP

IAR

BAKERSFIELD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark C. Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IQVESTMENT, LLC

ADVISORY SERVICES NETWORK

AST INVESTOR SERVICES LLC

CORRESPONDENT SERVICES CORPORATION

NATIONAL FINANCIAL SERVICES LLC

CORRESPONDENT SERVICES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

TD SECURITIES (USA) LLC

SBC WARBURG, INC.

SANWA SECURITIES (USA) CO., L.P.

Primary Firm SEC Registration

IQVESTMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/8/2017

Series 63

Date: 12/22/2006

SIE

Date: 7/31/2015

Series 7

Date: 10/5/2006

Series 24

Date: 11/7/2006

Series 27

Date: 9/16/1996

Current Firm

IQVESTMENT, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IQVESTMENT, LLC

TRUST BUT VERIFY

Similar Advisors