Mark A. Sottile
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 A Sottile, who also goes by Mark Anthony Sottile, 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 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2017 - September 6, 2024
NAVY FEDERAL INVESTMENT SERVICES, LLC
August 24, 2012 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
August 21, 2012 - September 6, 2024
NAVY FEDERAL INVESTMENT SERVICES, LLC
January 17, 2012 - August 1, 2012
L.M. KOHN & COMPANY
January 17, 2012 - August 1, 2012
L.M. KOHN & COMPANY
January 13, 2011 - January 17, 2012
MIDSOUTH CAPITAL, INC.
October 19, 2010 - December 31, 2010
MIDSOUTH CAPITAL, INC.
October 18, 2010 - January 17, 2012
MIDSOUTH CAPITAL, INC.
March 12, 2009 - July 24, 2009
MOODY CAPITAL SOLUTIONS, INC
December 20, 2006 - January 22, 2009
TD AMERITRADE, INC.
December 20, 2006 - January 22, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 20, 2006 - January 22, 2009
TD AMERITRADE, INC.
June 3, 2005 - December 7, 2006
EQUITABLE ADVISORS, LLC
February 16, 2005 - December 7, 2006
EQUITABLE ADVISORS, LLC
January 2, 2002 - February 2, 2005
OPPENHEIMER & CO. INC.
July 12, 1999 - January 2, 2002
JOSEPHTHAL & CO., INC.
July 20, 1995 - July 13, 1999
FAIRCHILD FINANCIAL GROUP, INC.
July 26, 1994 - August 9, 1995
RICKEL & ASSOCIATES, INC.
May 16, 1988 - July 21, 1994
F.N. WOLF & CO., INC.
February 2, 1987 - May 19, 1988
SHERWOOD CAPITAL, INC.
March 26, 1979 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
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
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
