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MS

Mark H. Schepps

D & D SECURITIES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 2042034
MS

Professional summary

Mark H Schepps, who also goes by Mark Schepps, is a registered financial professional currently at D & D SECURITIES, INC. located in Philadelphia, Pennsylvania and KEYSTONE TRADING PARTNERS located in Wayne, Pennsylvania.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2014. Mark has worked at 8 firms and has passed the Series 57TO, Series 99TO, SIE, Series 7, Series 3, Series 27, Series 14, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Schepps

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) - BD

Click below to view Mark H Schepps'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®
None

Experience

Current

January 5, 2015 - Present

D & D SECURITIES, INC.

Office #1: 2929 Walnut Street 8th Floor, Philadelphia, PA 19104
BD
CRD#: 31470
Philadelphia, PA
Current

June 20, 2018 - Present

KEYSTONE TRADING PARTNERS

Office #1: 7 Harford Lane, Wayne, PA 19087
BD
CRD#: 33100
Wayne, PA
Current

August 6, 2021 - Present

TRADEMAS INC.

Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005Office #2: Nyse 11 Wall Street, New York, NY 10005
BD
CRD#: 130030
New York, NY
Past

January 4, 2019 - September 27, 2019

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

August 17, 2016 - June 22, 2018

HYBRID TRADING & RESOURCES, LLC

BD
CRD#: 133030
CHICAGO, IL
Past

March 23, 2016 - October 14, 2016

OPEN TO THE PUBLIC INVESTING, INC.

BD
CRD#: 127818
New York, NY
Past

December 1, 2014 - November 16, 2020

PTR, INC.

BD
CRD#: 31559
COLLINGSWOOD, NJ
Past

September 8, 2014 - October 14, 2016

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY

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.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/1990
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/15/2024
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/9/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/13/2014
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TRADEMAS INC.
BOWERS SECURITIES INC. | TRADEMAS INC. | JOHN MATTHEW BOWERS | JOHN M. BOWERS, SOLE PROPRIETOR | JMB, SOLE PROPRIETOR

CRD#: 130030 / SEC#: , 8-66292

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Nyse Trading Floor 11 Wall Street, New York, NY 10005
Mailing Address
Accounting & Compliance International 77 Water Street, Suite 1604, New York, NY 10005
Phone number
(212) 668-8700
Established
New York since 08/25/2006
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASIELLO, FRANK THOMASCEO/PRES/TREAS/SECY/COO4490475
ATTANASIO, ELIZABETH MARIEFINOP/PFO/POO5325007
SCHEPPS, MARK HCCO2042034

Disclosures

Regulatory Event7

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.

Company Information

TRADEMAS INC.

CRD#: 130030Philadelphia, PA 19104

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