Mark J. Sanpietro
Professional summary
Mark J Sanpietro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Mark had worked at 4 firms, which includes WORLD INVESTMENTS LLC, TRACK DATA SECURITIES CORPORATION, REVERE SECURITIES LLC, TD AMERITRADE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2004 - September 26, 2007
WORLD INVESTMENTS, LLC
November 17, 2000 - January 2, 2004
TRACK DATA SECURITIES CORPORATION
April 10, 2000 - December 31, 2000
REVERE SECURITIES LLC
October 14, 1996 - April 7, 2000
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 12/14/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 1/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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