Mark B. Sutton
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 Bryan Sutton was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1978. Mark had worked at 8 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2005 - January 26, 2007
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
July 30, 2002 - January 26, 2007
UBS FINANCIAL SERVICES INC.
January 28, 1995 - January 26, 2007
UBS FINANCIAL SERVICES INC.
August 24, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 3, 1989 - July 31, 1992
UBS FINANCIAL SERVICES INC.
October 31, 1984 - October 6, 1988
ROTAN MOSLE INC.
October 7, 1983 - June 18, 1985
UBS FINANCIAL SERVICES INC.
September 22, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
February 11, 1983 - September 8, 1983
ROTAN MOSLE INC.
June 4, 1982 - February 14, 1983
FINANCIAL SQUARE PARTNERS
January 7, 1981 - June 2, 1982
ROTAN MOSLE INC.
September 26, 1978 - February 26, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 2/17/1983
Interest Rate Options ExaminationSeries 8
Date: 11/6/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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.
