Mark J. Fessler
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 James Fessler was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 4 firms and has passed the Series 63, Series 55, 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
January 8, 2004 - March 22, 2012
SPARTAN SECURITIES GROUP, LTD.
March 5, 2003 - September 22, 2003
SUNSTATE EQUITY TRADING
September 18, 1998 - May 1, 2001
CIBC WORLD MARKETS CORP.
September 30, 1991 - October 9, 1998
RAYMOND JAMES & ASSOCIATES, INC.
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
Series 55
Date: 3/6/2003
Limited Representative-Equity Trader ExamCurrent Firm
SPARTAN SECURITIES GROUP, LTD.
CRD#: 104478 / SEC#: , 8-52937
Contact information
Disclosures
| Regulatory Event | 11 |
| Civil Event | 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.
