Mark E. Loats
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 Edward Loats was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1979. Mark had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 1992 - August 14, 1992
SCHNEIDER SECURITIES, INC.
June 8, 1992 - June 24, 1992
SMITH, BENTON & HUGHES, INC.
May 14, 1991 - October 29, 1991
FLEMMING, ANDERSON, COHEN & LEE, INC.
October 12, 1990 - March 26, 1991
FAIRCHILD FINANCIAL GROUP, INC.
March 19, 1990 - October 24, 1990
TRI-BRADLEY INVESTMENTS
April 20, 1989 - February 16, 1990
KOBER FINANCIAL CORP.
January 19, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
August 21, 1986 - December 19, 1986
J. W. GANT & ASSOCIATES, INC.
November 7, 1985 - June 10, 1986
MARSHALL DAVIS, INC.
July 22, 1985 - January 2, 1986
FIRST EASTERN SECURITIES CORPORATION
December 14, 1984 - June 12, 1985
QUINN & CO., INC.
March 30, 1984 - August 22, 1984
VANDERBILT SECURITIES, INC.
December 7, 1983 - March 5, 1984
R.B. MARICH, INC.
April 6, 1982 - December 6, 1983
VANTAGE SECURITIES OF COLORADO, INC.
February 26, 1979 - December 10, 1981
FIRST FINANCIAL SECURITIES, 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
SCHNEIDER SECURITIES, INC.
CRD#: 16434 / SEC#: , 8-33967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHNEIDER FINANCIAL CORP | CORPORATION | |
| BIXLER, CLARENCE LEROY JR | DIRECTOR | 22327 |
| DURAYBITO, SIEGFRIED PETER | OWNER | 1030619 |
| HINKLE, STEVEN RAY | CHIEF EXECUTIVE OFFICER/DIRECTOR | 838034 |
| KOCH, KEITH ARLAN | DIRECTOR | 1197658 |
| LOWE, TERRI ELAINE | CHIEF FINANCIAL OFFICER/DIRECTOR | 1823203 |
| MCENENY, TIMOTHY SEAN JR | OWNER | 2250543 |
| MURRAY, JAY ALAN | OWNER | 1958868 |
| NORTON, GREGORY BRUCE | DIRECTOR | 2041583 |
| OROURKE, THOMAS JOSEPH | PRESIDENT/DIRECTOR | 353467 |
| ROUSE, RICHARD JOHN | VICE-PRESIDENT/DIRECTOR | 1135898 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 17 |
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.
