Mark J. Palazzo
Professional summary
Mark James Palazzo was barred by the SEC 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 5 firms, which includes VFINANCE INVESTMENTS INC, PITTSFORD CAPITAL MARKETS INC, PARAMOUNT FINANCIAL CAPITAL MARKETS INC., ESSEX CAPITAL MARKETS INC., NEW ENGLAND SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2002 - June 8, 2005
VFINANCE INVESTMENTS, INC
July 27, 1994 - February 26, 2003
PITTSFORD CAPITAL MARKETS, INC
March 29, 1994 - July 12, 1994
PARAMOUNT FINANCIAL CAPITAL MARKETS, INC.
June 25, 1987 - April 21, 1994
ESSEX CAPITAL MARKETS, INC.
December 14, 1983 - July 18, 1987
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 62
Date: 1/17/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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