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MW

Mark R. Weiss

Some features on this profile are disabled
CRD#: 2790378
MW

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 Robert Weiss was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

May 28, 2015 - June 27, 2016

DEER ISLE CAPITAL, LLC

BD
CRD#: 146269
EAST HAMPTON, NY
Past

October 18, 2012 - May 11, 2015

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
NEW YORK, NY
Past

July 29, 2010 - May 11, 2015

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

December 5, 2007 - January 26, 2009

GOETZ, BATCHKER & COMPANY, INC.

BD
CRD#: 32282
NEW YORK, NY
Past

January 20, 2003 - June 19, 2003

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

January 5, 2000 - February 19, 2003

H. RIVKIN & CO., INC.

BD
CRD#: 29459
PRINCETON, NJ
Past

September 23, 1996 - August 12, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, 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
Series 63
Date: 3/13/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2007
General Securities Representative Examination

Current Firm

DI
DEER ISLE CAPITAL, LLC
DEER ISLE CAPITAL, LLC | MILLENNIUM GLOBAL CAPITAL, LLC

CRD#: 146269 / SEC#: , 8-67803

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

Main Address
18 Good Friend Drive, East Hampton, NY 11937
Mailing Address
18 Good Friend Drive, East Hampton, NY 11937
Phone number
(212) 488-0555
Established
Delaware since 07/25/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DEER ISLE GROUP, LLC100% OWNER, MEMBER
ALMERINI, LOUIS ACHILLEFINOP1605183
RAEDLE, DIANNA RAABCHIEF EXECUTIVE OFFICER, MANAGING MEMBER
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963

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

DEER ISLE CAPITAL, LLC

CRD#: 146269

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