MT
Mark L. Tunkel
OSAIC INSTITUTIONS
Brooklyn, NY 11231
Some features on this profile are disabled
CRD#: 1948678
MT
Professional summary
Mark Lawrence Tunkel, who also goes by Mark Lawrence Tunkel, Mark Tunkel, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Brooklyn, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Lawrence Tunkel | Mark Tunkel
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) - RIA
Click below to view Mark Lawrence Tunkel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Lawrence Tunkel'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
June 24, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 326 Court Street, Brooklyn, NY 11231Office #2: 326 Court Street, Brooklyn, NY 11231RIA
BD
CRD#: 35371
Brooklyn, NY
Current
June 24, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 326 Court Street, Brooklyn, NY 11231RIA
BD
CRD#: 35371
Brooklyn, NY
Past
April 4, 2024 - June 25, 2024
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MELVILLE, NY
Past
April 4, 2024 - June 25, 2024
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MELVILLE, NY
Past
October 15, 2021 - April 12, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GREAT NECK, NY
Past
October 15, 2021 - April 12, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GREAT NECK, NY
Past
July 7, 2017 - October 15, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BETHPAGE, NY
Past
July 7, 2017 - October 15, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BETHPAGE, NY
Past
April 21, 2016 - July 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WANTAGH, NY
Past
April 21, 2016 - July 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WANTAGH, NY
Past
May 15, 2015 - April 22, 2016
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
LONG ISLAND CITY, NY
Past
May 14, 2015 - April 22, 2016
SANTANDER SECURITIES LLC
BD
CRD#: 41791
LONG ISLAND CITY, NY
Past
January 28, 2015 - May 4, 2015
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - May 4, 2015
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
FAIRFIELD, NJ
Past
February 24, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
February 18, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
FAIRFIELD, NJ
Past
March 11, 2013 - February 3, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOLYOKE, MA
Past
July 1, 2010 - February 11, 2013
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
LYNBROOK, NY
Past
July 1, 2010 - February 11, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
LYNBROOK, NY
Past
May 27, 2008 - June 3, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 27, 2008 - June 3, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 20, 2003 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
EAST MEADOW, NY
Past
March 19, 2002 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
March 19, 2001 - February 4, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 20, 1998 - October 4, 2000
QUANTITATIVE ANALYSIS SERVICE, INC.
BD
CRD#: 7842
JERSEY CITY, NJ
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(6/24/2024)
RR
Connecticut(6/24/2024)
RR
Florida(6/24/2024)
RR
Michigan(6/24/2024)
RR
New Jersey(6/24/2024)
RR
New York(6/24/2024)
IAR
New York(6/24/2024)
RR
Texas(6/24/2024)
IAR
Texas(6/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
