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Mark Charles Blumenthal

CRD# 832455·Registered 1977 - 1983
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Charles Blumenthal was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1977 - 1983. Mark had worked at 7 firms and has passed the Series 7 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

49 years in the financial services industry

Current & Past Employments

BROOK INVESTMENTS, INC.·CRD# 7876
BD
December 14, 1981 - February 14, 1983
KINGSLEY, BOYE & SOUTHWOOD, INC.·CRD# 6572
BD
January 29, 1981 - June 25, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED·CRD# 76
BD
March 19, 1980 - June 30, 1980
KENNEDY, CABOT & CO.·CRD# 2417
BD
November 2, 1979 - December 30, 1979
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
July 20, 1978 - October 28, 1979
SUTRO & CO. INCORPORATED·CRD# 801
BD
October 26, 1977 - April 13, 1978
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
January 26, 1977 - October 26, 1977

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Current Firm

BI
BROOK INVESTMENTS, INC.

BROOK INCORPORATED | KID WORLD ACTIVITY CENTER | BROOK INVESTMENTS, INC.

CRD#: 7876 / SEC#: 8-23574
BD
Expelled by FINRA on 09/01/1993

Contact Information

Established

Illinois since 04/11/1978

Firm Type

Corporation

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Jan 1977About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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