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MS

Mark R. Sorrentino

Some features on this profile are disabled
CRD#: 5967422
MS

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 Russell Sorrentino was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2011. Mark had worked at 1 firm and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 1, 2011 - June 5, 2012

CHESTNUT PARTNERS, INC.

BD
CRD#: 38387
BOSTON, MA

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

State Security Law Exam
RR
Series 63
Date: 11/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2011
General Securities Representative Examination

Current Firm

CP
CHESTNUT PARTNERS, INC.
CHESTNUT PARTNERS SECURITIES, INC. | CHESTNUT SECURITIES, INC. | CHESTNUT PARTNERS, INC.

CRD#: 38387 / SEC#: , 8-48226

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Center 28th Floor, Boston, MA 02111
Mailing Address
One Financial Center 24th Floor, Boston, MA 02111
Phone number
(617) 832-8600
Established
Delaware since 01/11/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VOLWILER, ADAM STORAYCO-MANAGING PARTNER, ASSISTANT SECRETARY5700970
HOLMAN, ALBERT AMOS IIIPRESIDENT, CO-MANAGING PARTNER, CHIEF COMPLIANCE OFFICER2125973

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.

Company Information

CHESTNUT PARTNERS, INC.

CRD#: 38387

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