Mark D. Goerg
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 Damian Goerg, who also goes by Mark Goerg, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 17 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55 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
January 4, 2021 - March 1, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 3, 2020 - January 4, 2021
MML DISTRIBUTORS, LLC
September 11, 2019 - December 23, 2019
MML INVESTORS SERVICES, LLC
March 16, 2018 - November 7, 2018
OLDEN LANE SECURITIES, LLC
June 10, 2009 - November 22, 2017
BNY MELLON CAPITAL MARKETS, LLC
November 26, 2007 - November 13, 2009
BNY MELLON SECURITIES LLC
August 13, 2007 - October 23, 2007
NORTHEAST SECURITIES, LLC
November 22, 2005 - March 20, 2007
VIRTU ITG LLC
September 16, 2004 - November 28, 2005
NORTHEAST SECURITIES, LLC
August 23, 2000 - July 9, 2004
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 26, 1994 - September 6, 2000
J.P. MORGAN SECURITIES INC.
March 23, 1993 - March 24, 1993
SCHONFELD SECURITIES, LLC
May 14, 1988 - December 14, 1990
LEHMAN BROTHERS INC.
March 17, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 17, 1985 - December 19, 1985
MORGAN STANLEY DW INC.
January 17, 1985 - October 16, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1984 - January 15, 1985
BUTCHER & SINGER INC.
January 25, 1984 - June 18, 1984
BLINDER, ROBINSON & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| 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.
