Mark B. Doremus
Professional summary
Mark Bradley Doremus is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Ann Arbor, Michigan.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Bradley Doremus's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2004 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
December 2, 2003 - February 2, 2004
BACAP DISTRIBUTORS, LLC
February 26, 2003 - November 4, 2003
MORGAN STANLEY DW INC.
October 29, 2002 - November 4, 2003
MORGAN STANLEY DW INC.
March 20, 1998 - June 25, 2002
AMUNDI DISTRIBUTOR US, INC.
February 27, 1996 - February 23, 1998
INVESCO CAPITAL MARKETS, INC.
November 13, 1992 - March 13, 1995
HART SECURITIES, 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
(4/22/2024)
(4/22/2024)
(4/19/2004)
(4/22/2024)
(4/22/2024)
(4/22/2024)
(2/17/2004)
Exams
FINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
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.
