ML
Mark Liff
SIEBERT WILLIAMS SHANK & CO.
New York, NY 10005
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CRD#: 1875744
ML
Professional summary
Mark Liff, who also goes by Mark Robert Liff, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 8 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark Robert Liff
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Liff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 6, 2023 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005BD
CRD#: 42568
New York, NY
Past
April 20, 2021 - March 6, 2023
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 18, 2019 - March 6, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
New York, NY
Past
May 12, 2015 - October 8, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 15, 2000 - April 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 27, 1995 - November 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 30, 1994 - February 28, 1995
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
March 7, 1990 - August 25, 1994
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 19, 1988 - March 1, 1990
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/9/2023)
RR
Alaska(3/6/2023)
RR
Arizona(3/6/2023)
RR
Arkansas(3/6/2023)
RR
California(3/6/2023)
RR
Colorado(3/6/2023)
RR
Connecticut(3/6/2023)
RR
Delaware(3/6/2023)
RR
District of Columbia(3/6/2023)
RR
Florida(3/6/2023)
RR
Georgia(3/6/2023)
RR
Hawaii(3/6/2023)
RR
Idaho(3/6/2023)
RR
Illinois(3/6/2023)
RR
Indiana(3/6/2023)
RR
Iowa(3/6/2023)
RR
Kansas(3/6/2023)
RR
Kentucky(3/6/2023)
RR
Louisiana(3/6/2023)
RR
Maine(3/6/2023)
RR
Maryland(3/6/2023)
RR
Massachusetts(3/6/2023)
RR
Michigan(3/6/2023)
RR
Minnesota(3/6/2023)
RR
Mississippi(3/6/2023)
RR
Missouri(3/6/2023)
RR
Montana(3/6/2023)
RR
Nebraska(3/6/2023)
RR
Nevada(3/6/2023)
RR
New Hampshire(3/6/2023)
RR
New Jersey(3/6/2023)
RR
New Mexico(3/6/2023)
RR
New York(3/6/2023)
RR
North Carolina(3/6/2023)
RR
Ohio(3/6/2023)
RR
Oklahoma(3/6/2023)
RR
Oregon(3/6/2023)
RR
Pennsylvania(3/6/2023)
RR
Puerto Rico(3/6/2023)
RR
Rhode Island(3/6/2023)
RR
South Carolina(3/6/2023)
RR
Tennessee(3/6/2023)
RR
Texas(3/6/2023)
RR
Utah(3/6/2023)
RR
Vermont(3/6/2023)
RR
Virginia(3/6/2023)
RR
Washington(3/6/2023)
RR
West Virginia(3/6/2023)
RR
Wisconsin(3/6/2023)
RR
Wyoming(3/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
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.
