INVESTMARK ADVISORY GROUP LLC of SHELTON, CT is an SEC-registered investment adviser (CRD 121060). Regulatory assets under management: $929.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Michael Christopher Kusick | MANAGING MEMBER | — |
| Nicholas Thomas Christie | MEMBER | — |
| Scott K Williams | CHIEF COMPLIANCE OFFICER | — |
| Jay Marc Diamond | MEMBER | — |
| DIAMOND JAY MARC | MEMBER | — |
| KUSICK MICHAEL CHRISTOPHER | MANAGING MEMBER; MEMBER; PRESIDENT | — |
| CHRISTIE NICHOLAS THOMAS | MEMBER; SECRETARY | — |
| WILLIAMS SCOTT K | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-06-11 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT INVESTMARK FAILED TO ADEQUATELY TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO ITS RECEIPT OF 12B-1 FEES AND/OR ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. AS A RESULT OF THESE FINDINGS, THE S… | Final | — |
| City | State | Employees | Phone |
|---|---|---|---|
| GLASTONBURY | CT | 2 | (860)633-1804 |
| BRISTOL | CT | 1 | 860 589 8600 |
| — | — | 1 | 603-865-1077 |
| — | — | 1 | 203-953-3777 |
| — | — | 1 | 203-953-3777 |