Mark C. Blumenthal
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 Charles Blumenthal was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1977. Mark had worked at 7 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1981 - February 14, 1983
BROOK INVESTMENTS, INC.
January 29, 1981 - June 25, 1981
KINGSLEY, BOYE & SOUTHWOOD, INC.
March 19, 1980 - June 30, 1980
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 2, 1979 - December 30, 1979
KENNEDY, CABOT & CO.
July 20, 1978 - October 28, 1979
CHARLES SCHWAB & CO., INC.
October 26, 1977 - April 13, 1978
SUTRO & CO. INCORPORATED
January 26, 1977 - October 26, 1977
A. G. EDWARDS & SONS, INC.
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
BROOK INVESTMENTS, INC.
CRD#: 7876 / SEC#: , 8-23574
Contact information
Documents
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.
