Mark A. Pruitt
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 A Pruitt, who also goes by Mark Allen Pruitt, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2013. Mark had worked at 5 firms and has passed the Series 66, SIE 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 16, 2016 - November 14, 2016
ALLEGIANCE FINANCIAL ADVISORS, INC.
June 26, 2015 - November 21, 2016
SIGNATOR INVESTORS, INC.
June 5, 2014 - July 1, 2015
EAGLE STRATEGIES LLC
April 24, 2014 - July 1, 2015
NYLIFE SECURITIES LLC
November 4, 2013 - December 23, 2013
WADDELL & REED
September 26, 2013 - December 23, 2013
WADDELL & REED
Primary Firm SEC Registration
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
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
ALLEGIANCE FINANCIAL ADVISORS, INC.
CRD#: 127293 / SEC#: 801-121302
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 443 |
| AUM (Assets Under Management) | $ 154,045,384 |
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.
