Mark Sheptoff has been Managing Member, Chief Compliance Officer of Mark Sheptoff Financial Planning since August 1997, is a control person of the firm and directly owns 75% or more of it.
Mark Sheptoff Financial Planning LLC is a Glastonbury, CT firm with $467M under management, 252 clients and 1 adviser in one office, as of its March 2026 filing.
- – · 3 yearsGlastonbury, CT · Adviser representative · Firm CRD 108742
- – · 17 yearsGlastonbury, CT · Adviser representative · Firm CRD 108742
Examinations
No examinations are on Mark Sheptoff’s record.
- Full name
- Mark A Sheptoff
- CRD
- 4634537
- Firm
- Mark Sheptoff Financial Planning · CRD 108742
- Role
- Managing Member, Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Mark Sheptoff work?
Mark Sheptoff has been Managing Member, Chief Compliance Officer of Mark Sheptoff Financial Planning LLC since August 1997, and is a control person of the firm.
Does Mark Sheptoff have a current investment-adviser registration?
Mark Sheptoff has no current investment-adviser or broker registration.
Where was Mark Sheptoff previously registered as an investment adviser?
Mark Sheptoff has past investment-adviser registrations through Mark Sheptoff Financial Planning LLC, July 2020 to December 2023; Mark Sheptoff Financial Planning LLC, October 1997 to December 2014, across 1 firm.
Is Mark Sheptoff registered with FINRA?
No. Mark Sheptoff has no current broker registration.
How can I verify Mark Sheptoff’s record?
Search CRD 4634537 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark Sheptoff’s full registration record.