Mark A. Elsea
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 Alan Elsea was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 17 firms and has passed the Series 63 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
April 29, 1998 - October 14, 1998
TEJAS SECURITIES GROUP, INC.
February 19, 1998 - May 4, 1998
JOSEPHTHAL & CO., INC.
October 6, 1997 - February 9, 1998
CRISPIN KOEHLER SECURITIES
February 7, 1996 - September 17, 1997
RICKEL & ASSOCIATES, INC.
April 13, 1995 - January 4, 1996
FAB SECURITIES OF AMERICA, INC.
September 16, 1994 - March 31, 1995
A. T. BROD & CO. INC.
May 21, 1992 - September 9, 1994
DICKINSON & CO.
September 30, 1989 - May 29, 1992
ADVEST, INC.
October 5, 1988 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
February 1, 1988 - October 6, 1988
OBERWEIS SECURITIES, INC.
October 21, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
July 2, 1987 - March 9, 1988
FIRST AFFILIATED SECURITIES, INC.
May 14, 1987 - June 9, 1987
MCKEWON & TIMMINS
December 16, 1985 - April 30, 1987
RAUSCHER PIERCE REFSNES, INC.
February 11, 1985 - December 26, 1985
E. F. HUTTON & COMPANY INC
August 4, 1983 - February 8, 1985
ROTAN MOSLE INC.
April 19, 1983 - September 27, 1983
ADAMS, JAMES, ABARR & COMPANY, 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
TEJAS SECURITIES GROUP, INC.
CRD#: 36705 / SEC#: , 8-47433
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
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.
