Mark T. Phelan
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 Thomas Phelan 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 65, Series 63, Series 7, Series 55, Series 4 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
June 29, 2011 - December 9, 2013
M22 CAPITAL LLC
June 30, 2004 - April 12, 2011
PIPER SANDLER & CO.
April 26, 1994 - October 27, 1995
MESIROW FINANCIAL, INC.
April 20, 1992 - February 26, 1994
BANC ONE CAPITAL MARKETS, 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: 5/17/2004
Limited Representative-Equity Trader ExamCurrent Firm
M22 CAPITAL LLC
CRD#: 157512 / SEC#:
Contact information
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.
