Mark M Horita
Professional Summary
Mark M Horita is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
PEAKSTONE SECURITIES, LLC
Contact Information
Main Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607Mailing Address
550 West Van Buren Street Suite 1460, Chicago, IL 60607Phone Number
(312) 346-7318Established
Illinois since 02/17/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/16/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Oct 2013About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Oct 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark M Horita's CRS (Customer Relationship Summary).
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