Mark A. Sanchez
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 Anthony Sanchez, who also goes by Mark Anthony Sanchez Jr, Mark Sanchez, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2026 - July 8, 2026
MADISON AVENUE SECURITIES, LLC
January 26, 2026 - July 8, 2026
MADISON AVENUE SECURITIES, LLC
March 5, 2025 - January 23, 2026
MML INVESTORS SERVICES, LLC
March 5, 2025 - January 23, 2026
MML INVESTORS SERVICES, LLC
July 22, 2015 - December 16, 2024
LPL FINANCIAL LLC
July 21, 2015 - December 16, 2024
LPL FINANCIAL LLC
February 9, 2012 - June 19, 2015
CUSO FINANCIAL SERVICES, L.P.
February 9, 2012 - June 29, 2015
SORRENTO PACIFIC FINANCIAL, LLC
February 8, 2012 - June 19, 2015
CUSO FINANCIAL SERVICES, L.P.
February 8, 2012 - June 29, 2015
SORRENTO PACIFIC FINANCIAL, LLC
August 23, 2007 - February 9, 2012
LPL FINANCIAL LLC
August 23, 2007 - February 9, 2012
LPL FINANCIAL LLC
May 29, 2007 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
June 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 22, 2004 - April 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 5, 2004 - April 17, 2006
IDS LIFE INSURANCE COMPANY
November 5, 2004 - April 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 24, 2003 - October 12, 2004
WINDHAM SECURITIES, INC.
May 4, 2000 - November 4, 2003
VANGUARD CAPITAL
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
