Mark M. Stanton
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 Moore Stanton was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 6 firms and has passed the Series 65, Series 63, 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
July 4, 2012 - June 10, 2014
ASPEN EQUITY PARTNERS, LLC
August 9, 2010 - November 22, 2011
FORESIDE GLOBAL SERVICES, LLC
June 16, 2009 - July 1, 2009
CALAMOS WEALTH MANAGEMENT LLC
July 26, 2004 - July 1, 2009
CALAMOS FINANCIAL SERVICES LLC
January 28, 2004 - June 3, 2004
VICTORY CAPITAL SERVICES, INC.
November 1, 2000 - December 2, 2002
FORESIDE FUND SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ASPEN EQUITY PARTNERS, LLC
CRD#: 104035 / SEC#: , 8-52491
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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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