Public records published by the Financial Industry Regulatory Authority (FINRA) on July 17, 2018 indicate that former Illinois-based Citigroup Global Markets broker/adviser Mark Flanagan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flanagan (CRD# 1949836).
Mark Flanagan has spent 13 years in the securities industry and was most recently registered with Citigroup Global Markets in Highland Park, Illinois (2014-2017). Previous registrations include Wells Fargo Advisors in Lake Forest, Illinois (2011-2014); Fifth Third Securities in Lake Forest, Illinois (2006-2011); UVest Financial Services Group in Chicago, Illinois (2005-2006); TCF Securities in Minneapolis, Minnesota (2002-2003); and Oppenheimer & Company (1989-1990). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 15, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2005; and Series 7 (General Securities Representative Examination), which he obtained on September 6, 2005. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received four customer complaints and two regulatory sanctions.