Mark G. Tufts
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 Gerald Tufts was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55 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
February 1, 2017 - August 10, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 1, 2017 - August 10, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 11, 2014 - February 6, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 12, 2012 - February 6, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 16, 2010 - October 12, 2012
GREAT POINT CAPITAL LLC
November 3, 2006 - July 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 16, 2004 - December 31, 2004
LEGEND SECURITIES, INC.
September 6, 2001 - October 3, 2001
PROTRADER SECURITIES L.P.
September 6, 2001 - March 28, 2002
KERSHNER TRADING GROUP, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 55
Date: 9/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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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