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MH

Mark M. Horita

PEAKSTONE SECURITIES
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 6248410
MH

Professional summary

Mark M Horita is a registered financial professional currently at PEAKSTONE SECURITIES, LLC located in Chicago, Illinois.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 1 firm and has passed the Series 63, SIE, Series 82 and Series 79 exams.

top-8-questions

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) - BD

Click below to view Mark M Horita's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

October 3, 2013 - Present

PEAKSTONE SECURITIES, LLC

Office #1: 550 West Van Buren Street Suite 1460, Chicago, IL 60607
BD
CRD#: 157146
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/16/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 10/11/2013
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 10/3/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PEAKSTONE SECURITIES, LLC
PEAKSTONE SECURITIES, LLC

CRD#: 157146 / SEC#: , 8-68835

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

Main Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607
Mailing Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607
Phone number
(312) 346-7318
Established
Illinois since 02/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FRIDMAN, ALEXMEMBER4580424
SLEIGH, STEPHEN ROBERTCEO, MEMBER2466141
TEMPLE, JEFFREY WILLIAMMEMBER5905932
ALVAREZ, ENRIQUECFO / FINOP4622342
BROWN, EVAN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO6563464

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

PEAKSTONE SECURITIES, LLC

CRD#: 157146Chicago, IL 60607

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