Mark J. Nugent
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 Joseph Nugent was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2016 - November 15, 2018
LPS CAPITAL LLC
October 20, 1995 - October 10, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 19, 1991 - October 13, 1995
CEDAR STREET SECURITIES CORP.
February 23, 1984 - April 30, 1991
MABON, NUGENT & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
