Mark R. Fallon
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 Richard Fallon was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2014 - June 21, 2017
CANTOR FITZGERALD & CO.
March 30, 2012 - June 3, 2014
HFF SECURITIES L.P.
July 16, 2001 - July 23, 2010
MOUNTAINVIEW SECURITIES, LLC
July 31, 2000 - July 20, 2001
RAYMOND JAMES & ASSOCIATES, INC.
September 24, 1999 - August 4, 2000
J.C. BRADFORD & CO.
November 18, 1996 - October 19, 1999
RAYMOND JAMES & ASSOCIATES, INC.
January 23, 1995 - November 11, 1996
WACHOVIA SECURITIES, INC.
November 16, 1993 - March 9, 1995
WESTCAP SECURITIES, L.P.
January 16, 1990 - November 29, 1993
MMAR GROUP, INC.
October 3, 1988 - January 20, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
January 27, 1988 - September 19, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
January 14, 1988 - September 19, 1988
WESTCAP SECURITIES, L.P.
September 2, 1987 - January 1, 1988
R.B. MARICH, INC.
July 25, 1987 - September 2, 1987
WESTCAP GOVERNMENT SECURITIES, INC.
March 22, 1983 - September 2, 1987
WESTCAP SECURITIES, L.P.
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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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