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Mark Frederick Hammitt

CRD# 4879538·Registered 2004 - 2017
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Frederick Hammitt was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 2004 - 2017. Mark had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years in the financial services industry

Current & Past Employments

ARXIS SECURITIES LLC·CRD# 172506
BD
New York, NY
July 22, 2016 - June 12, 2017
RBC CMA LTD·CRD# 121263
BD
New York, NY
January 3, 2011 - May 10, 2016
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
October 22, 2010 - June 22, 2016
NOVA CAPITAL MARKETS, LLC·CRD# 32694
BD
West Conshohocken, PA
November 8, 2004 - March 7, 2005

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Current Firm

AS
ARXIS SECURITIES LLC

ARXIS SECURITIES LLC

CRD#: 172506 / SEC#: 8-69509
BD
Terminated by SEC on 08/20/2017

Contact Information

Established

Delaware since 07/09/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ARXIS CAPITAL INTERMEDIATE HOLDINGS LLCSOLE MEMBER—
CHI, PATRICK CHANGCHIEF COMPLIANCE OFFICER5634045
JOYCE, THOMAS MICHAELCHIEF EXECUTIVE OFFICER850573
MAYERHOFER, GERARD THOMASCHIEF OPERATIONS OFFICER AND FINOP1354612

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2017About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Dec 2010

Series 7 — General Securities Representative Examination

Passed Oct 2010About the Series 7 exam

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CRS (Client Relationship Summary)

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

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