Mark J. Koetting
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 Jerome Koetting was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2000 - March 2, 2000
ALL-TECH DIRECT, INC.
September 18, 1998 - April 27, 1999
PROTRADER SECURITIES L.P.
April 29, 1996 - November 4, 1997
FBD INVESTMENT SERVICES, INC.
June 30, 1994 - May 6, 1996
CITIGROUP GLOBAL MARKETS INC.
December 9, 1992 - June 15, 1994
HIBBARD BROWN & CO., 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
ALL-TECH DIRECT, INC.
CRD#: 13992 / SEC#: , 8-26336
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSHMORE FINANCIAL SERVICES | SHAREHOLDER | |
| HOUTKIN, HARVEY IRA | MSRP | 251066 |
| HOUTKIN, HARVEY IRA | CHAIRMAN OF BOARD /CEO/SECY | 251066 |
| LEFKOWITZ, HARRY MARTIN | DIRECTOR | 1454925 |
| LERNER, LINDA | CHIEF LEGAL OFFICER | 2350733 |
| MARGA, STEPHEN JOHN JR | SROP/CROP | 2276644 |
| OGELE, FRANKLIN IHENDU | CHIEF COMPLIANCE OFFICER/FIN OP | 2197820 |
| SHEFTS, MARK DAVID | PRESIDENT/DIRECTOR | 709147 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
