Mark Simonetti
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 Simonetti 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 63, 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
July 2, 1998 - June 16, 2011
FIRST MERGER CAPITAL, INC
October 22, 1996 - December 1, 1998
GLENN MICHAEL FINANCIAL, INC.
April 5, 1995 - October 15, 1996
DUKE & CO., INC.
August 3, 1992 - April 19, 1995
INVESTORS 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
Current Firm
FIRST MERGER CAPITAL, INC
CRD#: 44083 / SEC#: , 8-50546
Contact information
Documents
Disclosures
| Regulatory 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.
