LIFEMARK SECURITIES CORP. of ROCHESTER, NY is an SEC-registered investment adviser (CRD 16204). Regulatory assets under management: $424.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Vincent Jr Micciche | TREASURER/ FINOP/PFO/POO | — |
| Andrew Joseph Kalinowski | VP / BOARD MEMBER/SECRETARY | — |
| James Joseph Prisco | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER; PRESIDENT / BOARD MEMBER | — |
| Alexandre Jr. Georgiev | CCO OF THE RIA / DIRECTOR OF OPERATIONS | — |
| MICCICHE VINCENT JR | CEO; CHIEF COMPLIANCE OFFICER/BOARD MEMBER, SECRETARY & TREASURER; TREASURER/ FINOP/PFO/POO | — |
| KALINOWSKI ANDREW JOSEPH | CEO; VP / BOARD MEMBER; VP / BOARD MEMBER/SECRETARY | — |
| PRISCO JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER; PRESIDENT / BOARD MEMBER | — |
| PRIEST MARK JAMES | CEO | — |
| MOAR BRUCE ALLAN | CCO-RIA | — |
| VANDUSEN GEORGE CROSS III | SHAREHOLDER | — |
| JESSOP TODD JEROME | CCO-RIA | — |
| GEORGIEV ALEXANDRE JR | CCO OF THE RIA; CCO OF THE RIA / DIRECTOR OF OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-29 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED AGAINST LIFEMARK SECURITIES CORP. ("LIFEMARK" OR "RESPONDENT"). THE COMMISSION FINDSTHAT BETWEEN JULY 2020 AN… | Final | $85K |
| 2022-05-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, DERBIN CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE IMPERSONATED A CUSTOMER ON A TELEPHONE CALL TO A FINANCIAL SERVICES COMPANY. THE FINDINGS STATED THAT DERBIN'S CUSTOMER WANTED TO TRANSFER HER RETIREMENT PLAN FROM ONE FUND PROVIDER TO A… | Final | $3K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |