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MARK SHEPTOFF FINANCIAL PLANNING LLC

dba MARK SHEPTOFF FINANCIAL PLANNING LLC · CRD 108742 · Registered Investment Adviser

MARK SHEPTOFF FINANCIAL PLANNING LLC is a Registered Investment Adviser headquartered in GLASTONBURY, CT. The firm reports $466,529,463 in regulatory assets under management across 771 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$466,529,463
Non-discretionary$0
Total RAUM$466,529,463
Accounts771

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 108742. adviserinfo.sec.gov/firm/summary/108742.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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