Mark J. Federowicz
Professional summary
Mark Joseph Federowicz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Mark had worked at 6 firms, which includes CADARET GRANT & CO. INC., RAYMOND JAMES FINANCIAL SERVICES INC., FSC SECURITIES CORPORATION, LEHMAN BROTHERS INC., MARSAN SECURITIES CO. INC., E.C. FARNSWORTH & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 1994 - November 13, 1996
CADARET, GRANT & CO., INC.
July 26, 1989 - August 24, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 1988 - July 24, 1989
FSC SECURITIES CORPORATION
January 7, 1984 - July 26, 1988
LEHMAN BROTHERS INC.
August 10, 1983 - December 31, 1984
MARSAN SECURITIES CO., INC.
June 22, 1983 - November 11, 1983
E.C. FARNSWORTH & 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
Series 15
Date: 5/31/1985
Foreign Currency Options ExaminationSeries 8
Date: 12/14/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
