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MS

Mark D. Shattan

GROWTHLINE CAPITAL MANAGEMENT
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 3130314
MS

Professional summary

Mark David Shattan is a registered financial advisor currently at GROWTHLINE CAPITAL MANAGEMENT LLC located in Stamford, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Mark has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Mark David Shattan's CRS (Customer Relationship Summary).

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

Current

February 29, 2024 - Present

GROWTHLINE CAPITAL MANAGEMENT LLC

Office #1: 1 Landmark Square 7th Floor, Stamford, CT 06901
RIA
CRD#: 311182
STAMFORD, CT
Past

June 7, 1999 - June 5, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 20, 1998 - March 31, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(2/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/18/2005
General Securities Principal Examination

Current Firm

GC
GROWTHLINE CAPITAL MANAGEMENT LLC
GROWTHLINE CAPITAL MANAGEMENT LLC

CRD#: 311182 / SEC#: 802-119801

Connecticut
Registered Investment Advisory firm - (2/29/2024 Approved)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1 Landmark Square 7th Floor, Stamford, CT 06901
Mailing Address
Phone number
(203) 653-8812
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 8,471,774

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn6/7/2023
ConnecticutERA - Withdrawn6/7/2023

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

GROWTHLINE CAPITAL MANAGEMENT LLC

CRD#: 311182Stamford, CT 06901

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