Mark Dalcollo
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 Dalcollo was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 6 firms and has passed the Series 63, SIE 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
July 29, 2013 - November 3, 2014
ROCKWELL GLOBAL CAPITAL LLC
January 25, 2008 - April 23, 2008
BASIC INVESTORS INC.
August 24, 2006 - February 14, 2007
CETERA WEALTH SERVICES, LLC
July 5, 2005 - September 19, 2006
JOSEPH STEVENS & CO., INC.
April 21, 2005 - July 1, 2005
WESTROCK ADVISORS, INC.
April 16, 2004 - April 25, 2005
J.P. TURNER & COMPANY, L.L.C.
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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
