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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-20 |
Branch Locations
1600 Highway 6 Suite 400, Sugar Land, TX 77478 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 3 Mark Financial | Houston | TX | 02/1987 | Present |
| Concourse Financial Group Securities Inc | Houston | TX | 08/1995 | 02/2025 |
| 3 Mark Equities Inc | Sugar Land | TX | 02/2001 | Present |
| Cetera Wealth Services, Llc | Sugar Land | TX | 02/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2025 | Present |
(dba) 3 MARK FINANCIAL INC; Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Recruiting/Marketing; President; Start Date 01/1987; 200 hours per month; Meet with life insurance agents to affiliate them with 3 Mark and to market 3 Mark carriers and services. >> 3 MARK FINANCIAL INC; Non-Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Other; Advisory Committee-Director; Start Date 01/2005; 1 hour, more or less, per month. >> 3 MARK FINANCIAL INC; Investment Related; 1600 Highway 6, Sugar Land, TX 77478; Insurance; Producer; 1 hour per month; Offer annuity products with varied insurance carriers. >> Bill PROPPER; Investment Related; Sugar Land, TX; Brokerage; President; Start Date 04/2019; 1 hour, more or less, per month with that (those) hour(s) occurring during trading hours; Brokerage of life settlements. >> STRUCTURED SETTLEMENTS; Investment Related; Sugar Land, TX; Other; Producer; Start Date 12/2024; 1 hour per month with that 1 hour occurring during trading hours; Offer life settlements.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-21 |
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