Mark W. Tapley
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 William Tapley was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2014 - June 25, 2014
ROBOTIC TRADING ADVISORS, LLC
April 5, 2013 - August 30, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 19, 2012 - August 30, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
September 15, 2011 - June 4, 2012
ARQUE CAPITAL, LTD.
April 22, 2011 - June 20, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
May 14, 2010 - December 31, 2010
RICHFIELD ORION INTERNATIONAL, INC.
December 16, 2008 - October 22, 2009
ALLIANCE AFFILIATED EQUITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ROBOTIC TRADING ADVISORS, LLC
CRD#: 168687 / SEC#: 801-78577
Contact information
Red Flags
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