Mark FiskioCRD Number: 1197038
Current Firm: Empirical Asset Management, LLC
Mark Fiskio (CRD# 1197038) is an Investment Advisor Representative working at Empirical Asset Management, LLC in Newton Lower Falls, MA and has over 32 years of experience in the finance industry.
Walnut Hill Advisors, LLC
|Race Rock Capital LLC||Boston, MA||May 2016 - Current||< 1|
|Empirical Asset Management, LLC||Wellesley, MA||Oct 2010 - Current||6|
|Herbert J Sims & Co||Wellesley, MA||Sep 2012 - Jun 2014||1|
|Bank Of America, Na||Newton, MA||Sep 2009 - Sep 2010||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Newton, MA||Mar 2006 - Sep 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1983|
|S65||NASAA Investment Advisors Law Examination||Apr 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management122MILLIONS
Total Number of Accounts461ACCOUNTS
Average Account Value$264,131
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
CA, MA, NH, NY, TX
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