Mark H. Brandt
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 Henry Brandt, who also goes by Mark Brandt, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2006. Mark had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2020 - April 29, 2021
SFI CAPITAL GROUP, LLC
October 31, 2017 - September 4, 2019
NORTHERN TRUST SECURITIES, INC.
July 19, 2013 - August 21, 2014
MARATHON CAPITAL MARKETS, LLC
March 4, 2009 - August 4, 2011
MARATHON CAPITAL MARKETS, LLC
October 5, 2006 - February 6, 2007
ALLIANCEBERNSTEIN L.P.
May 12, 2006 - February 6, 2007
SANFORD C. BERNSTEIN & CO., LLC
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
SFI CAPITAL GROUP, LLC
CRD#: 141979 / SEC#: , 8-67421
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACHILL BD, LLC | DIRECT OWNER | |
| DORSEY, JOHN WILLIAM | CEO, PRESIDENT, CCO, AMLCO, EXECUTIVE REPRESENTATIVE | 2409227 |
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.
