Mark A. Case
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 Anthony Case, who also goes by Mark A Case, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2007. Mark had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 17, 2014 - March 8, 2018
SCOTTRADE, INC.
June 28, 2012 - December 20, 2012
TD AMERITRADE, INC.
June 28, 2012 - December 20, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 22, 2012 - December 20, 2012
TD AMERITRADE, INC.
January 25, 2012 - June 21, 2012
STRATEGIC ADVISERS LLC
January 11, 2012 - June 20, 2012
FIDELITY BROKERAGE SERVICES LLC
October 3, 2008 - December 15, 2011
TD AMERITRADE, INC.
October 3, 2008 - December 15, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 15, 2007 - December 15, 2011
TD AMERITRADE, INC.
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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