Mark A. Uselton
Professional summary
Mark Alan Uselton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Mark had worked at 5 firms, which includes AMERICAN INVESTMENT SERVICES INC., NATIONAL CAPITAL TRADING LLC, LEGACY TRADING CO. LLC, THE CAMELOT GROUP INC., INVESTMENT CENTERS OF AMERICA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2002 - June 14, 2002
AMERICAN INVESTMENT SERVICES, INC.
August 7, 2000 - March 28, 2003
NATIONAL CAPITAL TRADING, LLC
September 17, 1999 - March 24, 2008
LEGACY TRADING CO., LLC
June 17, 1996 - April 30, 1999
NATIONAL CAPITAL TRADING, LLC
December 19, 1995 - October 28, 1996
THE CAMELOT GROUP, INC.
April 16, 1992 - August 23, 1994
INVESTMENT CENTERS OF AMERICA, 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: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
