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Mark R. Braverman

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CRD#: 2620934
MB

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 Richard Braverman, who also goes by Mark Richard Braverman, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Richard Braverman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) INDEPENDENT INSURANCE AGENT - 5/1/23 - 25 Province Drive, South Setauket, NY 11720 - Selling insurance & annuity products, Fact finding process with clients selling only appropriate products, Invt Rel, Insurance sales, 25 hrs/mo; 25 hrs/mo (during trading hours). 2.) CHARLES RUTENBERG REALTY LLC - 4/1/2019 - 255 Executive Drive, #104, Plainview, NY 11803 - Associate Broker, Real estate services, Not Invt Rel, Real estate business, 10 hrs/mo; 10 hrs/mo (during trading hours). 3.) TRUSTED AMERICAN INSURANCE AGENCY - 5/1/2024 - 201 Creekside Ridge Ct, Suite 200, Roseville, CA 95678 - Insurance Agent, Insurance sales, Not Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours). 4.) BRAVERMAN LAW FIRM LLC - 11/1/2022 - 25 Province Drive, South Setauket, NY 11720 - Attorney, Practice law, Not Invt Rel, Law firm, 25 hrs/mo; 25 hrs/mo (during trading hours). 5.) TLG ADVISORS INC - 4/14/2025 - 475 Springfield Avenue, Summit, NJ 07901 - IAR Rep, Invt Rel, RA business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 16, 2025 - September 29, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

April 14, 2025 - September 29, 2025

TLG ADVISORS, INC.

RIA
CRD#: 111052
South Setauket, NY
Past

February 21, 2023 - April 20, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Forest Hills, NY
Past

February 21, 2023 - April 20, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Forest Hills, NY
Past

September 13, 2021 - November 29, 2022

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBURY, NY
Past

June 22, 2021 - November 29, 2022

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBURY, NY
Past

November 16, 1995 - October 29, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 16, 1995 - October 29, 1996

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

June 20, 1995 - July 21, 1995

KEDEM CAPITAL CORPORATION

BD
CRD#: 18178
MELVILLE, NY
Past

June 8, 1995 - June 22, 1995

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/9/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/19/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/10/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1995
General Securities Representative Examination

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157

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