Mark C. Quale
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 Christopher Quale was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2005 - April 1, 2016
FFEC WEALTH PARTNERS LLC
December 7, 2005 - April 1, 2016
FFEC WEALTH PARTNERS LLC
March 22, 2002 - January 29, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1994 - January 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1993 - August 17, 1994
AVANTAX INVESTMENT SERVICES, 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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
