Mark D. Roop
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 D Roop, who also goes by Mark Roop, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2013 - December 27, 2016
TALL HOUSE FINANCIAL
February 17, 2009 - November 14, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 17, 2009 - November 14, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 24, 2008 - February 12, 2009
MSI FINANCIAL SERVICES, INC.
September 5, 2008 - February 12, 2009
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TALL HOUSE FINANCIAL
CRD#: 166267 / SEC#:
Contact information
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.
