Mark D. Fitzpatrick
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 Daniel Fitzpatrick was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 7 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2011 - January 16, 2013
A. R. SCHMEIDLER & CO., INC.
April 7, 2008 - October 6, 2009
BARRETT ASSOCIATES INC
December 4, 2007 - October 6, 2009
FRANKLIN DISTRIBUTORS, LLC
August 21, 2006 - January 24, 2008
ELESSAR INVESTMENT MANAGEMENT, LLC
May 3, 2004 - September 19, 2005
VICTORY CAPITAL SERVICES, INC.
January 4, 2001 - April 5, 2004
KEYBANC CAPITAL MARKETS INC.
December 7, 1994 - September 19, 2005
VICTORY CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
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
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
Contact information
SEC notice filing (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTEMIS US IV LLC | OWNER | |
| BURKE, STEPHEN ROBERT | DIRECTOR\PRESIDENT AND MANAGING DIRECTOR | 1054623 |
| KANDEL, PETER GEORGE JR | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER - BROKER-DEALER | 1003506 |
| LAWLESS, SEAN DAVID | DIRECTOR | 5974211 |
| MARCUS, ILANA RUTH | CHIEF COMPLIANCE OFFICER, REGISTERED INVESTMENT ADVISER | 1743010 |
| MARKEL, GREGORY SCOTT | DIRECTOR, CHIEF INVESTMENT OFFICER AND MANAGING DIRECTOR | 1559421 |
| MAUNDER, TREVOR WILLIAM | DIRECTOR | 5762876 |
| SCHAENEN, MICHAEL | DIRECTOR | 412381 |
| SCHMEIDLER, ANDREW JOHN | DIRECTOR, VICE CHAIRMAN OF THE COMPANY AND MANAGING DIRECTOR | 2287823 |
| SCHMEIDLER, ARNOLD ROGER | CHAIRMAN OF THE COMPANY, FOUNDER AND MANAGING DIRECTOR | 413821 |
| SWARTZMAN, GAVIN | DIRECTOR | 6473848 |
Regulatory assets under management
| Total Number of Accounts | 897 |
| AUM (Assets Under Management) | $ 1,778,346,372 |
Disclosures
| Regulatory Event | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2025 | ||
| 09/19/2024 | ||
| 08/22/2023 | ||
| 11/25/2022 |
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.
