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MS

Mark A. Sheptoff

Some features on this profile are disabled
CRD#: 4634537
MS

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 A Sheptoff was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 9, 2020 - December 31, 2023

MARK SHEPTOFF FINANCIAL PLANNING LLC

RIA
CRD#: 108742
GLASTONBURY, CT
Past

October 16, 1997 - December 31, 2014

MARK SHEPTOFF FINANCIAL PLANNING LLC

RIA
CRD#: 108742
GLASTONBURY, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MS
MARK SHEPTOFF FINANCIAL PLANNING LLC
MARK SHEPTOFF FINANCIAL PLANNING LLC | SHEPTOFF MARK FINANCIAL PLANNING LLC | MARK SHEPTOFF FINANCIAL PLANNING, LLC

CRD#: 108742 / SEC#: 801-57744

RIA
Registered Investment Advisory firm - (7/11/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

MS
MARK SHEPTOFF FINANCIAL PLANNING LLC
MARK SHEPTOFF FINANCIAL PLANNING LLC | SHEPTOFF MARK FINANCIAL PLANNING LLC | MARK SHEPTOFF FINANCIAL PLANNING, LLC

CRD#: 108742 / SEC#: 801-57744

RIA
Registered Investment Advisory firm - (7/11/2000 Approved)
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Contact information

Main Address
703 Hebron Ave 3rd Floor, Glastonbury, CT 06033
Mailing Address
Phone number
(860) 734-1090
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MSFP ADV PART II (3/26/2025)

Regulatory assets under management

Total Number of Accounts759
AUM (Assets Under Management)$ 427,998,961

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.

Company Information

MARK SHEPTOFF FINANCIAL PLANNING LLC

CRD#: 108742

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