Mark D. Pellettieri
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 David Pellettieri was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - February 8, 2013
SW FINANCIAL
April 7, 2011 - April 18, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
May 21, 2010 - April 7, 2011
BROOKVILLE CAPITAL PARTNERS
October 2, 2003 - December 4, 2008
BROOKVILLE CAPITAL PARTNERS
December 6, 1996 - December 12, 2001
FIRST ALLIED SECURITIES, INC.
October 9, 1993 - December 4, 1996
KENSINGTON WELLS INCORPORATED
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
