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ML

Mark A. Lieb

SAMI BROKERAGE LLC
Stamford, CT 06905
Some features on this profile are disabled
CRD#: 853490
ML

Professional summary

Mark Alan Lieb is a registered financial professional currently at SAMI BROKERAGE LLC located in Stamford, Connecticut.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1978. Mark has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 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 Alan Lieb'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

August 4, 1987 - Present

SAMI BROKERAGE LLC

Office #1: 2 High Ridge Park, Stamford, CT 06905
BD
CRD#: 18217
Stamford, CT
Past

February 23, 2005 - February 28, 2005

SAMI BROKERAGE LLC

RIA
CRD#: 18217
STAMFORD, CT
Past

January 21, 1980 - September 11, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

February 23, 1979 - February 21, 1980

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

June 22, 1978 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501

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
California
(11/7/2023)
RR
Connecticut
(8/31/1987)
RR
Delaware
(3/11/2020)
RR
Florida
(6/6/1988)
RR
Georgia
(12/8/1987)
RR
Illinois
(3/30/1989)
RR
Iowa
(12/18/1987)
RR
Kentucky
(5/13/2024)
RR
Minnesota
(12/8/1987)
RR
Nebraska
(7/10/2024)
RR
New York
(11/17/1987)
RR
Pennsylvania
(2/6/2020)
RR
Texas
(5/11/2022)
RR
Virginia
(4/14/2022)
RR
Wisconsin
(2/6/2020)
RR
Wyoming
(9/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/1987
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SAMI BROKERAGE LLC
MCCARROLL & CO., INC. | SPECTRUM ASSET MANAGEMENT, INC. | SAMI BROKERAGE LLC | PRINCIPAL GLOBAL INVESTORS

CRD#: 18217 / SEC#: 801-undefined, 8-36472

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

Main Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905
Mailing Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905
Phone number
(203) 322-0189
Established
Delaware since 11/09/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SPECTRUM ASSET MANAGEMENT, INC.100% OWNER
BYER, MATTHEW ROSSCHIEF INFORMATION SECURITY OFFICER3120607
HANCZOR, JOSEPH ANDREWCHIEF COMPLIANCE OFFICER5200684
JACOBY, LEWIS PHILLIP IVHEAD OF TRADING1238147
LIEB, MARK ALANPRESIDENT853490
ORLANDO, JEAN MARIEFINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER1197909

Disclosures

Regulatory Event1

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

SAMI BROKERAGE LLC

CRD#: 18217Stamford, CT 06905

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