Mark K. Okada
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 Kiyoshi Okada, who also goes by Mark Kiyoshi Okada, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 3 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2021 - December 20, 2022
SYCAMORE TREE CLO ADVISORS, L.P.
August 29, 2014 - May 15, 2018
GRANITE BAY ADVISORS, L.P.
July 15, 1998 - October 30, 2020
HIGHLAND CAPITAL MANAGEMENT, L.P.
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
Series 2
Date: 4/4/1994
Non-Member General Securities ExaminationCurrent Firm
SYCAMORE TREE CLO ADVISORS, L.P.
CRD#: 314626 / SEC#: 801-121643
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 743,817,573 |
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.
