Mark S. Pacelli
Professional summary
Mark S Pacelli was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Mark had worked at 3 firms, which includes SUNPOINT SECURITIES INC., UBS FINANCIAL SERVICES INC., J. B. HANAUER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1995 - September 10, 1998
SUNPOINT SECURITIES, INC.
March 10, 1995 - July 26, 1995
UBS FINANCIAL SERVICES INC.
August 4, 1993 - March 14, 1995
J. B. HANAUER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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