Markel D. Petty

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CRD#: 5217356

Professional summary

Markel Dashiell Petty was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Markel Dashiell Petty, who also goes by Markel Steven Lewis, was a registered financial professional .

Markel is a previously registered financial professional and started their career in finance in 2007. Markel had worked at 1 firm and has passed the Series 27 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Markel Steven Lewis

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

March 23, 2007 - September 15, 2009

DIRECT CAPITAL SECURITIES, INC.

CRD#: 29639

AUSTIN, TX

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

Principal/Supervisory Exam

Series 27

Date: 11/27/2006

Financial and Operations Principal Examination

Current Firm

DIRECT CAPITAL SECURITIES, INC.

DIRECT CAPITAL SECURITIES, INC. | T. R. WINSTON CAPITAL, INC.

CRD#: 29639 / SEC#: , 8-44397

Cancelled by SEC on 08/27/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/12/1991

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TIC CAPITAL MARKETS, INC.	CORPORATION, DIRECT OWNER
AKRIDGE, FRANK O JR	CHIEF COMPLIANCE OFFICER	4242013
GOODIN, DIANE MARIE	FINOP	3117840
STOVALL, RAYMOND P II	PRESIDENT & CEO	1057050

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Markel D. Petty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DIRECT CAPITAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 27

Date: 11/27/2006

Current Firm

DIRECT CAPITAL SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DIRECT CAPITAL SECURITIES, INC.

TRUST BUT VERIFY

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