Mark A. Vuskov
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 Adam Vuskov was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1999. Mark had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2020 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
April 24, 2020 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
April 23, 2020 - August 1, 2025
CADARET, GRANT & CO., INC.
March 26, 2013 - July 1, 2013
ALPHASOURCE INVESTMENT COUNSEL, INC
March 26, 2013 - April 1, 2019
VISIONARY ASSET MANAGEMENT
March 25, 2013 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
March 25, 2013 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
January 1, 2010 - January 23, 2012
INVESCO ADVISERS, INC.
March 15, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
January 11, 1999 - January 23, 2012
INVESCO DISTRIBUTORS, INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
