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Mark Larry Delgadillo

Sfe Investment Counsel Inc.

Los Angeles, CA

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Current Employers
Sfe Investment Counsel Inc.

801 S. Figueroa Street Suite 610, Los Angeles, CA 90017 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-05-27
  • CA RA
    APPROVED
    Since 2020-05-27

Branch Locations

801 South Figueroa Street Suite 610, Los Angeles, CA 90017 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
D.A. Davidson & Co. Santa Barbara CA 11/2013 04/2020
Sfe Investment Counsel Inc. Los Angeles CA 05/2020 Present
Previous Registrations
  • 2013-11-25 → 2020-05-01
    D.A. Davidson & Co.
    Santa Barbara, CA
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    Santa Barbara, CA
  • 2010-08-20 → 2013-11-04
    Crowell, Weedon & Co.
    Santa Barbara, CA
  • 2009-06-01 → 2010-08-31
    Morgan Stanley
    Santa Barbara, CA
  • 2005-04-29 → 2009-06-01
    Citigroup Global Markets Inc.
    Santa Barbara, CA
    Santa Barbara, CA
  • 1997-07-08 → 2005-04-29
    Morgan Stanley Dw Inc.
    Santa Barbar, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-02-14
S63 Uniform Securities Agent State Law Examination 1986-04-28
  • S65 Uniform Investment Adviser Law Examination
    2018-02-14
  • S63 Uniform Securities Agent State Law Examination
    1986-04-28

View on SEC IAPD

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