Mark Davies is a registered investment advisor, based in Latham, NY, with 15 years of industry experience.
Location
19 British American Blvd East, Latham, NY, 12110
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2023 - Present · 2 yrs 8 mos
Cetera Investment Services LLCBroker
September 2023 - Present · 2 yrs 8 mos
Previous Registrations
Key Investment Services LLC
September 2021 - September 2023 · 2 yrs
Key Investment Services LLCBroker
June 2021 - September 2023 · 2 yrs 3 mos
M&t Securities, INC.Broker
January 2020 - July 2020 · 6 mos
Key Investment Services LLCBroker
November 2008 - April 2018 · 9 yrs 5 mos
First Investors CorporationBroker
June 2001 - November 2001 · 5 mos
State Registrations14 states
AZCODEFLGAIAMANCNHNJNYPAVAVT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.