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MS

Mark Seffinger

SOFI SECURITIES
Greenville, DE 19807
Some features on this profile are disabled
CRD#: 2294049
MS

Professional summary

Mark Seffinger, who also goes by Mark Lawrence Seffinger, Mark Seffinger, is a registered financial professional currently at SOFI SECURITIES LLC located in Greenville, Delaware.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Lawrence Seffinger | Mark Seffinger

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Seffinger's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 19, 2024 - Present

SOFI SECURITIES LLC

Office #1: 500 Dupont Field Blvd St 100, Greenville, DE 19807
BD
CRD#: 151717
Greenville, DE
Past

April 4, 2023 - October 30, 2023

LPL ENTERPRISE, LLC

BD
CRD#: 8733
FORT MILL, SC
Past

April 19, 2021 - October 30, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 13, 2012 - May 7, 2021

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 30, 2002 - August 28, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

March 1, 2002 - October 16, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

September 5, 1997 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

July 2, 1993 - July 29, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/22/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOFI SECURITIES LLC
BOHICA SECURITIES LLC | SOFI SECURITIES LLC

CRD#: 151717 / SEC#: , 8-68389

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
234 1st Street, San Francisco, CA 94105
Mailing Address
234 1st Street, San Francisco, CA 94105
Phone number
(855) 525-7634
Established
New York since 08/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOCIAL FINANCE, LLC.MEMBER
BURKE, RYANPRESIDENT5016797
CLARK, TYLERPRINCIPAL OPERATIONS OFFICER4085018
SEFFINGER, MARKCHIEF COMPLIANCE OFFICER2294049
WADDELL, ALEXIS VINCENTFINOP7337272

Disclosures

Regulatory Event2

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.

Company Information

SOFI SECURITIES LLC

CRD#: 151717Greenville, DE 19807

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