Mark B. Landis
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 Bennett Landis was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2011 - November 4, 2014
SG AMERICAS SECURITIES, LLC
June 21, 2004 - April 17, 2007
NATWEST MARKETS SECURITIES INC.
November 3, 2000 - September 26, 2002
PERSHING LLC
April 24, 1991 - May 21, 2004
CREDIT SUISSE SECURITIES (USA) LLC
March 22, 1991 - April 29, 1991
SANWA UNIVERSAL SECURITIES CO., LLC
April 3, 1989 - April 29, 1991
SANWA SECURITIES (USA) CO., L.P.
February 23, 1988 - March 7, 1989
THOMSON MCKINNON SECURITIES INC.
April 23, 1986 - February 1, 1988
CITICORP SECURITIES, 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 8
Date: 1/11/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
