Mark S. Bussey

MARK BUSSEY & ASSOCIATES, LC

FREWSBURG, NY

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CRD#: 2322358

Professional summary

Mark Stuart Bussey, who also goes by Mark S Bussey, is a registered financial advisor currently at MARK BUSSEY & ASSOCIATES, LC located in Frewsburg, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Mark has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark S Bussey

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) - RIA

Click below to view Mark Stuart Bussey's 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

October 10, 2008 - Present

MARK BUSSEY & ASSOCIATES, LC

RIA

CRD#: 126899

FREWSBURG, NY

Past

June 16, 2003 - December 31, 2007

MARK BUSSEY & ASSOCIATES, LC

RIA

CRD#: 126899

GALVESTON, TX

Past

July 11, 2001 - June 25, 2003

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

October 14, 1998 - July 11, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

September 26, 1994 - October 22, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 19, 1993 - March 15, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/10/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/1993

General Securities Representative Examination

Current Firm

MARK BUSSEY & ASSOCIATES, LC

CRD#: 126899 / SEC#:

Arizona

Registered Investment Advisory firm - (10/10/2008 Approved)

Florida

Registered Investment Advisory firm - (12/9/2005 Terminated)

Texas

Registered Investment Advisory firm - (10/31/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2375 E. Camelback Rd. Ste 600, Phoenix, AZ 85016

Mailing Address

Phone number

(602) 697-6839

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 1,130,000

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.

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Firm Stability Insights

Mark S. Bussey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MARK BUSSEY & ASSOCIATES, LC

MARK BUSSEY & ASSOCIATES, LC

FFEC WEALTH PARTNERS LLC

SUTRO & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2003

Series 63

Date: 4/14/1993

Series 7

Date: 4/6/1993

Current Firm

MARK BUSSEY & ASSOCIATES, LC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARK BUSSEY & ASSOCIATES, LC

TRUST BUT VERIFY

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