Mark C. Hotton
Professional summary
Mark Christopher Hotton was barred by both the FINRA and the SEC 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 7 firms, which includes OBSIDIAN FINANCIAL GROUP LLC, ALEXANDER CAPITAL L.P., AMERICAN CAPITAL PARTNERS LLC, OPPENHEIMER & CO. INC., LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., M.S. FARRELL & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2012 - May 31, 2012
OBSIDIAN FINANCIAL GROUP, LLC
September 9, 2010 - March 9, 2012
ALEXANDER CAPITAL, L.P.
January 30, 2009 - August 13, 2010
AMERICAN CAPITAL PARTNERS, LLC
November 23, 2005 - February 17, 2009
OPPENHEIMER & CO. INC.
November 20, 2002 - November 23, 2005
LADENBURG THALMANN & CO. INC.
October 31, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
August 7, 1997 - March 22, 2002
LADENBURG THALMANN & CO. INC.
May 21, 1993 - July 29, 1997
M.S. FARRELL & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
Red Flags
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