Mark Foglia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Foglia, who also goes by Mark Foley, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1994 - February 23, 1994
THE WELLINGTON GROUP, INC.
June 24, 1992 - December 2, 1992
H.J. MEYERS & CO., INC.
April 1, 1992 - June 2, 1992
HANOVER, STERLING & COMPANY LTD.
December 17, 1987 - April 11, 1990
J. W. GANT & ASSOCIATES, INC.
November 17, 1987 - April 11, 1990
J. W. GANT & ASSOCIATES, INC.
November 4, 1987 - November 25, 1987
BERKELEY SECURITIES CORPORATION
October 16, 1987 - October 29, 1987
MARSHALL DAVIS, INC.
November 6, 1986 - October 8, 1987
J. W. GANT & ASSOCIATES, INC.
February 10, 1986 - November 10, 1986
F.D. ROBERTS SECURITIES, INC.
October 29, 1985 - April 22, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
September 13, 1985 - September 30, 1985
R.H. STEWART & CO., INC.
June 29, 1985 - September 10, 1985
BRODIS SECURITIES INCORPORATED
October 26, 1984 - June 7, 1985
BLINDER, ROBINSON & CO., INC.
August 7, 1984 - October 1, 1984
GREENTREE SECURITIES CORP.
December 23, 1983 - August 22, 1984
NORBAY SECURITIES INC.
November 24, 1982 - March 12, 1984
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE WELLINGTON GROUP, INC.
CRD#: 17814 / SEC#: , 8-35774
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
