Mark A. Wierson
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 Allen Wierson was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 4 firms and has passed the Series 63, Series 65 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
October 6, 2016 - October 28, 2016
FINANCIAL ENGINES ADVISOR CENTER, LLC
July 30, 2013 - October 18, 2016
THE MUTUAL FUND STORE
July 4, 2012 - July 25, 2013
NYLIFE SECURITIES LLC
August 4, 2004 - September 2, 2011
BTC CAPITAL MANAGEMENT
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
FINANCIAL ENGINES ADVISOR CENTER, LLC
CRD#: 109238 / SEC#: 801-57511
Contact information
Documents
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.
