Mark T. Lanzana
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 Thomas Lanzana, who also goes by Mark T Lanzana, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2010. Mark had worked at 4 firms and has passed the Series 63, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2014 - March 28, 2016
BROCK FIDUCIARY SERVICES LLC
September 17, 2012 - September 18, 2014
BROCK SECURITIES LLC
October 11, 2011 - November 1, 2011
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
November 15, 2010 - August 11, 2011
CITADEL SECURITIES LLC
Primary Firm SEC Registration
BROCK FIDUCIARY SERVICES LLC
CRD#: 153055 / SEC#: 801-71132
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
Current Firm
BROCK FIDUCIARY SERVICES LLC
CRD#: 153055 / SEC#: 801-71132
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 805,003,601 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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