Mark W. Solomon
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 W Solomon was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2013 - June 12, 2017
TD AMERITRADE CLEARING, INC.
June 30, 2011 - October 28, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 30, 2011 - June 12, 2017
TD AMERITRADE, INC.
June 21, 2011 - June 12, 2017
TD AMERITRADE, INC.
December 1, 2010 - May 26, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
November 22, 2010 - May 26, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
August 1, 2008 - June 8, 2010
EQUITABLE ADVISORS, LLC
July 14, 2008 - June 8, 2010
EQUITABLE ADVISORS, 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
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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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