Mark Perry Kissinger (CRD #4546631) Has Customer Dispute Disclosures on FINRA BrokerCheck

Mark Perry Kissinger (CRD #4546631) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on March 16, 2026. It reflects two customer disputes. If you invested with Mark Kissinger and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Mark Kissinger’s FINRA BrokerCheck Report reflects two customer dispute disclosures. A summary of the disputes is below:

On January 16, 2026, a customer alleged a variable universal life insurance product purchased in July 2022 was not suitable for the customer’s financial goals, risk tolerance, and liquidity needs. Mark Kissinger’s FINRA BrokerCheck report states the customer requested a refund of surrender charges. The matter is pending.

On February 17, 2009, a customer alleged an investment was misrepresented and unsuitable. Mark Kissinger’s FINRA BrokerCheck report lists the product as structured notes and shows the customer sought rescission. The matter settled for $105,000 on January 25, 2010. His broker statement says UBS Financial Services Inc. settled for business reasons and that he did not contribute to the settlement.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for each recommendation. A broker should match the recommendation to the customer’s profile, including risk tolerance, time horizon, and liquidity needs. Disputes like these often raise questions about whether the recommendation fit those factors.

Rule Summary #2: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires firms to use reasonable diligence to know the essential facts about each customer. That information helps support later recommendations and account servicing. When a complaint centers on suitability, the customer profile and account facts can become important.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Mark Kissinger:

Is currently registered with NYLIFE Securities LLC. He is also currently registered as an investment adviser representative with Eagle Strategies LLC.

Has passed the Securities Industry Essentials (SIE) exam. Mark Kissinger has also passed Series 7 and Series 66.

Was previously registered with firms that include Allstate Financial Services, LLC, UBS Financial Services Inc., and A.G. Edwards & Sons, Inc.

Kurta Law Can Help

If you have worked with Mark Kissinger and have concerns about the activity in your account, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.