Mark R. Fouty
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 Robert Fouty was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 4 firms and has passed the Series 66, Series 63, Series 3, Series 31, 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
August 22, 2011 - March 19, 2013
BLACKROCK FINANCIAL MANAGEMENT, INC
August 18, 2011 - March 19, 2013
BLACKROCK INVESTMENTS, LLC
June 2, 1997 - April 2, 2002
GOLDMAN SACHS & CO. LLC
January 23, 1992 - June 2, 1997
CC INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
BLACKROCK FINANCIAL MANAGEMENT, INC
CRD#: 107105 / SEC#: 801-48433
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
Current Firm
BLACKROCK FINANCIAL MANAGEMENT, INC
CRD#: 107105 / SEC#: 801-48433
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,269 |
| AUM (Assets Under Management) | $ 1,327,868,750,254 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 10/24/2024 | ||
| 01/26/2024 |
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.
